Government Securities | Fried Frank | Regulatory Intelligence

Government Securities

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Overview

The material on this page is intended to provide a fairly comprehensive overview of the regulation of U.S. government securities and government securities dealers.

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SA Sections and Rules

SA Section 3(a)(2) (Exemption for government securities)
SA Rule 131 (Security under government obligation)

SEA Sections, Rules, and Letters

SEA Section 3(a)(12)(A) (Exempted securities)
- SEA Rules 3a12-1 to 3a12-12 and 3b-5 (Rules relating to exempt securities)
SEA Sections 3(a)(42), 3(a)(43) and 3(a)(44) ("Government securities", "broker" and "dealer")
- SEA Rules 3a43-1 and 3a44-1 (Transactions by CFTC registrants)
SEA Section 15C (Government securities broker-dealers)
- SEA Rules 15Ca1-1 to 15Cc1-1 (Registration rule)
SEA Sections 37 and 38 (TVA and GSEs)

Bank Regulators

Government Securities Act Rules
Bureau of the Fiscal Service Rules
GSA Forms
G-FIN-4 | G-FIN-5
Treasury GSA Letters
Confirmations, Recordkeeping, Sales Practices
FDIC Part 344 | OCC Part 12 | FRS Rule 208.34
FDIC Part 368 | OCC Part 13 | FRS Rule 208.37

FINRA

FINRA Rule 0150 (Application of FINRA Rules)

Developments

Rulemakings

Regulatory Assistance

Guidance
Interpretations
FAQs and Fact Sheets
No-Action Letters
Speeches, Studies, Comments

Studies and Reports

Speeches, Studies and Testimony

Comment Letters
Enforcement
Enforcement Release

Legislation

Public Laws

External Link

FRBNY Web Page for Primary Dealers