January 2018
Municipal Securities Rulemaking Board Rules
Series:Securities Compliance
OCC Bulletin 2018-3, Municipal Securities Rulemaking Board Rules: Updated Comptroller's Handbook Booklet
Overview
This booklet provides guidance for examiners for assessing a bank's compliance with the Municipal Securities Rulemaking Board rules. These rules govern municipal securities dealers and municipal advisors and their activities, which include underwriting, financial advising, dealing in, and trading with or on behalf of customers.
Applicability
This booklet applies to the OCC's supervision of national banks and federal savings associations. References to national banks in this booklet also generally apply to federal branches and agencies of foreign banking organizations. Refer to12 USC 3102(b)and the "Federal Branches and Agencies Supervision" booklet of theComptroller's Handbookfor more information.