12 CFR 9.101 - Providing investment advice for a fee

Cite as12 CFR 9.101
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4 practice notes
  • Part III
    • United States
    • Federal Register June 30, 2004
    • June 30, 2004
    ...to the customer concern the purchase or sale of specific securities. See appendix to the Banking Agencies letter at 14 (citing 12 CFR 9.101(a), and 12 CFR 9.101(b)(2)(i) (``[a] bank does not provide `investment advice' merely by providing market information to customers in general.'')). Sim......
  • Securities: Trust and fiduciary activities exception; exemptions and defined terms (Regulation B),
    • United States
    • Federal Register June 30, 2004
    • June 30, 2004
    ...to the customer concern the purchase or sale of specific securities. See appendix to the Banking Agencies letter at 14 (citing 12 CFR 9.101(a), and 12 CFR 9.101(b)(2)(i) (``[a] bank does not provide `investment advice' merely by providing market information to customers in general.'')). Sim......
  • Economic Growth and Regulatory Paperwork Reduction Act of 1996 Amendments
    • United States
    • Federal Register March 14, 2016
    • March 14, 2016
    ...a national bank that is deemed a fiduciary based solely on its provision of investment advice for a fee, as that capacity is defined in 12 CFR 9.101(a), is not required to serve as custodian when offering those fiduciary services. Similarly, new Sec. 150.245 would provide that a Federal sav......
  • Walden v. The Bank of N.Y. Mellon Corp., 2:20-CV-01972-CRE
    • United States
    • United States District Courts. 3th Circuit. United States District Courts. 3th Circuit. Western District of Pennsylvania
    • November 30, 2021
    ...at 6. Specifically, Plaintiffs point to general Pennsylvania case law regarding breach of fiduciary duty as well as one federal law, 12 C.F.R. § 9.101. This Court will examine both. In Yenchi v. Ameriprise Financial, Inc., 161 A.3d 811 (Pa. 2017), the Pennsylvania Supreme Court considered “......
1 cases
  • Walden v. The Bank of N.Y. Mellon Corp., 2:20-CV-01972-CRE
    • United States
    • United States District Courts. 3th Circuit. United States District Courts. 3th Circuit. Western District of Pennsylvania
    • November 30, 2021
    ...at 6. Specifically, Plaintiffs point to general Pennsylvania case law regarding breach of fiduciary duty as well as one federal law, 12 C.F.R. § 9.101. This Court will examine both. In Yenchi v. Ameriprise Financial, Inc., 161 A.3d 811 (Pa. 2017), the Pennsylvania Supreme Court considered “......

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