19.140—Scope.
(a)
Except as provided in this subpart, subpart A of this part applies to proceedings by the Comptroller to determine whether, pursuant to authority contained in section 21B of the Exchange Act (15 U.S.C. 78u-2 ), in proceedings commenced pursuant to sections 15B, 15C, and 17A of the Exchange Act (15 U.S.C. 78o-4, 78o-5, or 78q-1) for which the OCC is the appropriate regulatory agency under section 3(a)(34) of the Exchange Act (15 U.S.C. 78c(a)(34) ), the Comptroller may impose a civil money penalty against the following:
(1)
A bank which is a municipal securities dealer, or any person associated or seeking to become associated with such a municipal securities dealer;
(2)
A bank which is a government securities broker or dealer, or any person associated with such government securities broker or dealer; or
(3)
A bank which is a transfer agent, or any person associated or seeking to become associated with such transfer agent.
(b)
All proceedings under this subpart must be commenced, and the notice of assessment must be filed, on a public basis, unless otherwise ordered by the Comptroller. Pursuant to § 19.33(a), any request for a private hearing must be filed within 20 days of service of the notice.