Guide to Bank Underwriting, Dealing and Brokerage Activities

April 5, 2018

The Twenty-second Edition of the Guide to Bank Underwriting, Dealing and Brokerage Activities is available.

This Edition speaks as of September 15, 2017 and reflects a substantial update from the 2016 edition. Generally, this Guide describes the U.S. regulatory regime applicable to the capital markets activities of U.S. and non-U.S. banks and bank holding companies in the United States.In particular, it highlights recent developments in respect of the conduct of securities-related and other business under applicable banking and securities laws, including the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Gramm-Leach-Bliley Act, the Bank Holding Company Act, the Glass-Steagall Act and the International Banking Act.

This Guide devotes significant attention to the dramatic re-focusing of banking and securities regulation that the Dodd-Frank Act requires, while also incorporating significant historical and recent developments in related regulations, interpretations and regulatory actions.

This Guide consists of 12 Parts, and is supplemented by a detailed Table of Contents and Index of Defined Terms to make it easier to locate (and cross refer to) specific issues and areas of interest. A more detailed summary of the contents of the 12 Parts appears on the following pages.