Civil money penalty authority under Federal securities laws.

CFR · 2024-01-01 · US · Title 12

(a) (1) 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; (2) 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 (3) 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. (b) (1) The term (2) The terms (3) The term (4) The term (5) The term (c)

official document · source cfr-2024 · id 12:§ 19.122