04-EA-21: SEC: Regulation B (Broker-Dealer Registration)

The Securities and Exchange Commission (SEC) has issued a proposed rule providing three exemptions for credit unions from the definitions of “broker” and “dealer” under the Securities Exchange Act of 1934.

Already a member? Log in

Members Get More

This page contains member-only content.

Membership is open to all federally insured credit unions in the United States, both federally and state-chartered. Members enjoy:

Hundreds of articles and resources
Personalized compliance assistance
Discounts on top-rated education opportunities
Member-only benefits and savings

Interested? Schedule a Customized Membership Webinar

If you are already logged in and believe you should have access to member-only content, please contact us for assistance at info@americascreditunons.org.