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 3 of the Securities Exchange Act of
1934), 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.
[12 USC 1831l. As added by act of Oct. 16, 1990
(104 Stat. 976).]
