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Banker Resource Center

Bank Securities

For banks with publicly distributed equity securities subject to the registration provisions of sections of the Securities Exchange Act of 1934 (the Exchange Act) and Part 335, the FDIC is vested with the powers, functions, and duties of the U.S. Securities and Exchange Commission (SEC) to administer and enforce various securities regulations.

Laws and Regulations

Key laws and regulations that pertain to FDIC-supervised institutions; note that other laws and regulations also may apply.

Supervisory Resources

Frequently asked questions, advisories, statements of policy, and other information issued by the FDIC alone, or on an interagency basis, provided to promote safe-and-sound operations.

Other Resources

Supplemental information related to safe-and-sound banking operations.

  • Securities Exchange Act Filings System provides search capabilities for beneficial ownership filings and other securities disclosure documents filed by or pertaining to FDIC-supervised institutions with a class of securities registered under the Exchange Act
  • U.S. Securities and Exchange Commission promotes fair, orderly, and efficient securities markets and protects investors which in turn facilitates capital formation