January 2018

Municipal Securities Rulemaking Board Rules

This publication is a part of:

Collection: Comptroller’s Handbook

Series: Securities Compliance

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 to 12 USC 3102(b) and the "Federal Branches and Agencies Supervision" booklet of the Comptroller's Handbook for more information.