Bank Dealer Activities

Overview

This booklet addresses a national bank's operations as a securities dealer. It includes general descriptions of significant areas of bank securities trading and underwriting activities.

Applicability

This booklet applies to the OCC's supervision of national banks. 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.