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Friday, July 25, 2014

OCC Updates Guidance on Muni Securities

The OCC issued a new Comptroller’s Handbook booklet on the Municipal Securities Rulemaking Board’s rules. It covers MSRB regulations and interpretive guidance and addresses compliance with new MSRB rules on recordkeeping, timing of disclosures, prices and commissions, municipal advisers and other topics. The new booklet consolidates 1990 guidance on bank dealer activities and a 1991 booklet on securities activities.

Read the booklet.

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