Recordkeeping and Disclosure Requirements Associated with Regulation R

The Board’s Regulation R - Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934 (12 CFR Part 218) implements certain exceptions for banks from the definition of broker under section 3(a)(4) of the Securities Exchange Act of 1934 (Exchange Act). For purposes of the Exchange Act and this Supporting Statement, “banks” include banking institutions organized in the United States, including members of the Federal Reserve System, Federal savings associations, and other commercial banks, savings associations, and nondepository trust companies that are organized under the laws of a state or the United States and subject to supervision and examination by state or federal authorities having supervision over banks and savings associations. Sections 701, 723, and 741 of Regulation R contain certain recordkeeping provisions for banks that utilize the exceptions in the Exchange Act and certain customer and counterparty disclosure requirements.

The latest form for Recordkeeping and Disclosure Requirements Associated with Regulation R expires 2027-01-31 and can be found here.

Recordkeeping Section 218.723

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight