Guide to Bank Underwriting, Dealing and Brokerage Activities

April 5, 2018

The 22nd 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 to 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.