Data Dictionary
Item Number J223
DOES YOUR INSTITUTION ENGAGE IN THIRD PARTY BROKER ARRANGEMENTS, COMONLY REFERRED TO AS "NETWORKING", TO SELL SECURITIES PRODUCTS OR SERVICES TO THRIFT CUSTOMERS? YES/NO?Call confidentiality applies to FFIEC 031/041.
| Series | Start Date | End Date | Confidential? | Reporting Forms |
|---|---|---|---|---|
| SVGLJ223 | 2009-06-30 | 2011-12-31 | No | OTS 1313 |
Data Description:
Indicate whether the institution has entered into a contract with a broker-dealer or registered investment adviser to provide non-deposit products (e.g. stocks, bonds, mutual funds) or services (investment
advisory or financial planning) to its customers. The broker-dealer or registered investment adviser may or may not be an affiliate of the institution. Institutions that have entered into a contract with an insurance company to only provide insurance products (e.g. life insurance, fixed annuities, property & casualty insurance) to its customers should place an "X" in the box marked "No". Place an "X" in the box marked "Yes" if the reporting institution has entered into a contract with a broker-dealer or registered investment adviser to provide non-deposit products or services to its customers. Otherwise, place an "X" in the box marked "No."