Enforcement Powers Against Municipal Securities Dealers, Transfer Agents, Clearing Agencies and Accountants

Summary

In addition to enforcement actions against banks and IAPs, the banking agencies may pursue enforcement actions against municipal securities dealers, clearing agencies, transfer agents and accountants

Miscellaneous Enforcement Actions and remedies

Sanctions Against Municipal Securities Dealers, Clearing Agencies and Transfer Agents

Section 15 of the Exchange Act, 15 USC 78o-5
OCC - 12 CFR Part 19, Subpart E
FRB - no particular regulations or authority in this area

FDIC - 12 CFR Part 308, Subpart I
OTS - 12 CFR Part 509, Subpart B
NCUA -

Removal, Suspension and Debarment of Accountants from Performing Audit Services

Section 36(g)(4) of the FDIA - 12 USC 1831m(g)(4)
OCC - 12 CFR Part 19, Subpart P
FRB - 12 CFR Part 263, Subpart J
FDIC - 12 CFR Part 308, Subpart U
OTS - 12 CFR Part 513, Section 513.8
NCUA - no particular regulations or authority in this area

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