January 2015

Government Securities Act

This publication is a part of:

Collection: Comptroller’s Handbook

Series: Securities Compliance

Overview

This booklet provides guidance to examiners for assessing banks' compliance with the Government Securities Act of 1986. It also provides guidance for examiners for evaluating banks' compliance with applicable sections of the record-keeping and confirmation requirements of 12 CFR 12 (national banks) and 12 CFR 151 (federal savings associations) and the government securities sales practices of 12 CFR 13.

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.