[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\ --------------------------------------------------------------------------- \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. ---------------------------------------------------------------------------