Regulation R Definition
What Is Regulation R? Regulation R was implemented in 2007 as a provision of the Gramm-Leach-Bliley Act of 1999. The Gramm-Leach-Bliley Act focuses on regulations for broker-dealers and brokerage transactions. Regulation R provides exceptions for banks to offer certain brokerage services once defined in the Securities Exchange Act of 1934. Broker-Dealer A broker-dealer is an