§ 1831l. Coordination of risk analysis between SEC and Federal banking agencies
127 words·~1 min read·
/usc/title-12/section-1831lA research copy — for the controlling text, always check the official state or federal source. Not legal advice.
Any appropriate Federal banking agency shall notify the Securities and Exchange Commission of any concerns of the agency regarding significant financial or operational risks to any registered broker or dealer, or any registered municipal securities dealer, government securities broker, or government securities dealer for which the Commission is the appropriate regulatory agency (as defined in section 78c of title 15), resulting from the activities of any insured depository institution, any depository institution holding company, or any affiliate of any such institution or company if such broker, dealer, municipal securities dealer, government securities broker, or government securities dealer is an affiliate of any such institution, company, or affiliate.
(Sept. 21, 1950, ch. 967, § 2[35], as added Pub. L. 101–432, § 7, Oct. 16, 1990, 104 Stat. 975.)
Connections2 cite this · traces to 1
Cited by 2 sections
statute-compilations
Traces to 1 document
U.S. Code
3 references not yet in our index
- Sept. 21, 1950, ch. 967, § 2
- Pub. L. 101–432, § 7
- 104 Stat. 975
Citation graph
cites case law
§ 1831l
Coordination of risk analysis between SEC and Federal banking agencies
Stat. Comp.×1
Stat.×1
ActSept. 21, 1950, ch. 967, § 2
Pub. L.Pub. L. 101–432, § 7
Stat.104 Stat. 975
Cites 4Cited by 2 across 2 sources