View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML
TREAS/OCC RIN: 1557-AB52 Publication ID: Fall 1997 
Title: Government Securities Sales Practices 
Abstract: The OCC, in conjunction with the FRB and FDIC, is issuing rules regarding the responsibilities of banks that are Government securities brokers or dealers when making recommendations to their customers concerning Government securities. 
Agency: Department of the Treasury(TREAS)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: No  Unfunded Mandates: No 
CFR Citation: 12 CFR 13   
Legal Authority: 12 USC 1 et seq    12 USC 93a    15 USC 78o-5   
Timetable:
Action Date FR Cite
NPRM  04/25/1996  61 FR 18470   
NPRM Comment Period End  06/24/1996  61 FR 18470   
Final Action  03/19/1997  62 FR 13276   
Final Action Effective  07/01/1997  62 FR 13276   
Additional Information: ADDITIONAL AGENCY CONTACTS: Elizabeth Malone, Senior Attorney, Securities and Corporate Practices Division, (202)874-5210, fax (202)874-5279, 250 E Street SW., Washington, DC 20219.
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Included in the Regulatory Plan: No 
Agency Contact:
Mark J. Tenhundfeld
Assistant Director
Department of the Treasury
Comptroller of the Currency
Legislative and Regulatory Activities Division, 250 E Street SW,
Washington, DC 20219
Phone:202 874-5090
Fax:202 874-4889
Email: mark.tenhundfeld@occ.treas.gov