Disciplinary proceedings.

CFR · 2024-01-01 · US · Title 12

(a) (i) A bank that is a municipal securities dealer, any person associated with a bank that is a municipal securities dealer, or any person seeking to become associated with a bank that is a municipal securities dealer; (ii) A bank that is a government securities broker or government securities dealer, any person associated with a bank that is a government securities broker or government securities dealer, or any person seeking to become associated with a government securities broker or government securities dealer; or (iii) A bank that is a transfer agent, any person associated with a bank that is a transfer agent, or any person seeking to become associated with a bank that is a transfer agent. (2) (i) The parties listed in paragraph (a)(1) of this section; and (ii) A bank that is a clearing agency. (3) (i) The term (ii) The terms (iii) The terms (iv) The terms (v) The terms (4) (b) (2) (c) (i) Censure; limit the activities, functions, or operations of; or suspend or revoke the registration of a bank that is a municipal securities dealer; (ii) Censure, suspend, or bar any person associated with a municipal securities dealer or seeking to become a person associated with a municipal securities dealer; (iii) Censure; limit the activities, functions, or operations of; or suspend or bar a bank that is a government securities broker or government securities dealer; (iv) Censure; limit the activities, functions, or operations of; or suspend or bar any person associated with or see

official document · source cfr-2024 · id 12:§ 19.121