12 U.S.C. § 1831l : US Code - Section 1831L: Coordination of risk analysis between SEC and Federal banking agencies

Search 12 U.S.C. § 1831l : US Code - Section 1831L: Coordination of risk analysis between SEC and Federal banking agencies

Any appropriate Federal banking agency shall notify the
Securities and Exchange Commission of any concerns of the agency
regarding significant financial or operational risks to any
registered broker or dealer, or any registered municipal securities
dealer, government securities broker, or government securities
dealer for which the Commission is the appropriate regulatory
agency (as defined in section 78c of title 15), resulting from the
activities of any insured depository institution, any depository
institution holding company, or any affiliate of any such
institution or company if such broker, dealer, municipal securities
dealer, government securities broker, or government securities
dealer is an affiliate of any such institution, company, or
affiliate.