[Code of Federal Regulations]

[Title 12, Volume 1]

[Revised as of January 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 12CFR10.1]



[Page 165]

 

                       TITLE 12--BANKS AND BANKING

 

   CHAPTER I--COMPTROLLER OF THE CURRENCY, DEPARTMENT OF THE TREASURY

 

PART 10_MUNICIPAL SECURITIES DEALERS--Table of Contents

 

Sec. 10.1  Scope.









Sec.

10.1 Scope.

10.2 Filing requirements.



    Authority: 5 U.S.C. 93a, 481, and 1818; 15 U.S.C. 78o-4(c)(5) and 

78q-78w.



    Source: 63 FR 29094, May 28, 1998, unless otherwise noted.





    This part applies to:

    (a) Any national bank, District bank, and separately identifiable 

department or division of either (collectively, a national bank) that 

acts as a municipal securities dealer, as that term is defined in 

section 3(a)(30) of the Securities Exchange Act of 1934 (15 U.S.C. 

78c(a)(30)); and

    (b) Any person who is associated or to be associated with a national 

bank in the capacity of a municipal securities principal or a municipal 

securities representative, as those terms are defined in Rule G-3 of the 

Municipal Securities Rulemaking Board (MSRB).\1\

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    \1\ The MSRB rules may be obtained by contacting the Municipal 

Securities Rulemaking Board at 1150 18th Street, NW., Suite 400, 

Washington, DC 20036-3816.

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