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FDIC Law, Regulations, Related Acts


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8000 - Miscellaneous Statutes and Regulations

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MISCELLANEOUS STATUTES AND REGULATIONS




TABLE OF CONTENTS



ADMINISTRATIVE PROCEDURE


Chapter 5—Administrative Procedure


SUBCHAPTER I—GENERAL PROVISIONS
SEC. 500    Administrative practice; general provisions    8021
SEC. 501    Advertising practice; restrictions    8022
SEC. 502    Administrative practice; Reserves and National Guardsmen    8022
SEC. 503    Witness fees and allowances    8022
SEC. 504    Costs and fees of parties    8022.01


SUBCHAPTER II—ADMINISTRATIVE PROCEDURE
SEC. 551    Definitions    8022.03
SEC. 552    Public information; agency rules, opinions, orders, records, and proceedings    8024
SEC. 552a    Records maintained on individuals    8032
SEC. 552b    Open meetings    8040
SEC. 553    Rule making    8044
SEC. 554    Adjudications    8045
SEC. 555    Ancillary matters    8046
SEC. 556    Hearings; presiding employees; powers and duties; burden of proof; evidence; record as basis of decision    8046
SEC. 557    Initial decisions; conclusiveness; review by agency; submissions by parties; contents of decisions; record    8047
SEC. 558    Imposition of sanctions; determination of applications for licenses; suspension, revocation, and expiration of licenses    8049
SEC. 559    Effect on other laws; effect of subsequent statute    8049


Chapter 6—The Analysis of Regulatory Functions
SEC. 601    Definitions    8050
SEC. 602    Regulatory agenda    8051
SEC. 603    Initial regulatory flexibility analysis    8051
SEC. 604    Final regulatory flexibility analysis    8052
SEC. 605    Avoidance of duplicative or unnecessary analyses    8052
SEC. 606    Effect on other law    8053
SEC. 607    Preparation of analyses    8053
SEC. 608    Procedure for waiver or delay of completion    8053
SEC. 609    Procedures for gathering comments    8054
SEC. 610    Periodic review of rules    8054.01
SEC. 611    Judicial review    8054.01
SEC. 612    Reports and intervention rights    8054.02


Chapter 7—Judicial Review
SEC. 701    Application; definitions    8055
SEC. 702    Right of review    8055
SEC. 703    Form and venue of proceeding    8055
SEC. 704    Actions reviewable    8056
SEC. 705    Relief pending review    8056
SEC. 706    Scope of review    8056
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ANNUZIO-WYLIE ANTI-MONEY LAUNDERING ACT OF 1992
SEC. 1542    Reports of information regarding safety and soundness of depository institutions    8059


BANK PROTECTION ACT OF 1968
SEC. 1    Short title    8073
SEC. 2    Federal supervisory agency defined    8073
SEC. 3    Security measures—Rules for installation, maintenance, and operation of security devices and procedures    8073
SEC. 4    Insurance rates; report to Congress    8073
SEC. 5    Penalties for violations    8074


BANK RECORDS AND FOREIGN TRANSACTIONS
SEC. 121    Congressional findings and purpose    8177
SEC. 122    Authority of Secretary with respect to reports on ownership and control    8177
SEC. 123    Authority of Secretary with respect to recordkeeping and procedures    8178
SEC. 124    Injunctions    8178
SEC. 125    Civil penalties    8178
SEC. 126    Criminal penalty    8179
SEC. 127    Additional criminal penalty in certain cases    8179
SEC. 128    Compliance    8179
SEC. 129    Administrative procedure    8179


BANK SERVICE COMPANY ACT
SEC.   1    Short title and definitions    8181
SEC.   2    Amount of investment in bank service company    8182
SEC.   3    Permissible bank service company activities for depository institutions    8182
SEC.   4    Permissible bank service company activities for other persons    8182
SEC.   5    Prior approval for investments in bank service companies    8183
SEC.   6    Services to nonstockholders    8184
SEC.   7    Regulation and examination of bank service companies    8184


CHAPTER IV—DEPARTMENT OF THE TREASURY


SUBCHAPTER A—REGULATIONS UNDER SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934


PART 400—RULES OF GENERAL APPLICATION
Sec. 400.1    Scope of regulations    8243
Sec. 400.2    Office responsible for regulations; filing of requests for exemptions, for interpretations, and for other materials    8244
Sec. 400.3    Definitions    8246
Sec. 400.4    Information concerning associated persons of financial institutions that are government securities brokers or dealers    8247
Sec. 400.5    Amendments to application for registration and to notice of status as a government securities broker or dealer    8248
Sec. 400.6    Notice of withdrawal from business as a government securities broker or dealer by a financial institution    8248
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PART 401—EXEMPTIONS
Sec. 401.1    Exemption for organizations handling transactions in United States Savings Bonds    8249
Sec. 401.2    Exemption for depository institutions that submit tenders for the account of customers for purchase on original issue of United States Treasury securities    8249
Sec. 401.3    Exemption for financial institutions that are engaged in limited government securities brokerage activities    8250
Sec. 401.4    Exemption for financial institutions engaged in limited government securities dealer activities    8250
Sec. 401.5    Exemption for corporate credit unions transacting limited government securities business with other credit unions    8251
Sec. 401.6    Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore    8251
Sec. 401.7    Temporary exemption for certain government securities brokers and dealers terminating business on or before October 31, 1987    8252
Sec. 401.8    Temporary exemption for government securities brokers and dealers that are futures commission merchants registered with the CFTC    8252


PART 402—FINANCIAL RESPONSIBILITY
Sec. 402.1    Application of part to registered brokers and dealers and financial institutions; special rules for futures commission merchants and government securities interdealer brokers; effective date    8255


PART 403—PROTECTION OF CUSTOMER SECURITIES AND BALANCES
Sec. 403.5    Custody of securities held by financial institutions that are government securities brokers or dealers    8259
Sec. 403.7    Effective dates    8263


PART 404—RECORDKEEPING AND PRESERVATION OF RECORDS
Sec. 404.4    Records to be made and preserved by government securities brokers and dealers that are financial institutions    8265


PART 405—REPORTS AND AUDIT
Sec. 405.1    Application of part to registered brokers and dealers and to financial institutions; transaction rule    8269
Sec. 405.4    Financial recordkeeping and reporting of currency and foreign transactions by registered government securities brokers and dealers    8269


PART 449—FORMS, SECTION 15C OF THE SECURITIES EXCHANGE ACT OF 1934
Sec. 449.1    Form G–FIN, notification by financial institutions of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934    8271
Sec. 449.2    Form G–FINW, notification by financial institutions of cessation of status as government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.6 of this chapter    8271
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Sec. 449.3    Form G–FIN–4, notification by persons associated with financial institutions that are government securities brokers and dealers pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.4 of this chapter    8271
Sec. 449.4    Form G–FIN–5, notification of termination of association with a financial institution that is a government securities broker or dealer pursuant to section 15C(a)(1)(B)(i) of the Securities Exchange Act of 1934 and § 400.4 of this chapter    8272


PART 450—CUSTODIAL HOLDINGS OF GOVERNMENT SECURITIES BY DEPOSITORY INSTITUTIONS
Sec. 450.1    Scope of regulations; office responsible    8275
Sec. 450.2    Definitions    8275
Sec. 450.3    Exemption for holdings subject to fiduciary standards    8276
Sec. 450.4    Custodial holdings of government securities    8276
Sec. 450.5    Effective date    8278.01


DEPARTMENT OF THE TREASURY STAFF INTERPRETATIONS OF GOVERNMENT SECURITIES REGULATIONS
DT-1    Definition of ``associated person'' and ``fiduciary capacity'' in section 400.3 of the temporary securities regulations    8279
DT-2    Custodial holdings of government securities by depository institutions    8280
DT-3    Confirmation of government securities transactions    8280.01
DT-4    Application of the Government Securities Act to the operations of a trust department    8280.02
DT-5    Financial institutions performing clearing and custodial services for exempt depository institutions are subject to ``no lien'' provision of section 450.4    8280.03
DT-6    Interpretation of the temporary lag provision in section 403.5; hold-in-custody repurchase transactions    8280.04
DT-7    Distinctions between ``tri-party'' and ``hold-in-custody'' repurchase agreement transactions    8280.05
DT-8    Clarification of the purpose of Treasury Form PD 1832    8280.08
DT-8A    Continuing misuse of Form PD F 1832    8280.09
DT-9    Interpretation regarding the proper treatment of government securities in certain repurchase transactions    8280.13


CRIMINAL LAWS AND PROCEDURES


Applicable Sections of Title 18, United States Code
SEC.   1    [Repealed]
SEC.   6    Department and agency defined    8281
SEC.  20    Financial institution defined    8281
SEC. 111    Assaulting, resisting, or impeding certain officers or employees    8281
SEC. 212    Offer of loan or gratuity to financial institution examiner    8282
SEC. 213    Acceptance of loan or gratuity by financial institution examiner    8283
SEC. 214    Offer for procurement of Federal Reserve bank loan and discount of commercial paper    8283
SEC. 215    Receipt of commissions or gifts for procuring loans    8284
SEC. 333    Mutilation of national bank obligations    8284
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SEC. 334    Issuance of Federal Reserve or national bank notes    8284
SEC. 337    Coins as security for loans    8285
SEC. 493    Bonds and obligations of certain lending agencies    8285
SEC. 644    Banker receiving unauthorized deposit of public money    8285
SEC. 655    Theft by bank examiner    8286
SEC. 656    Theft, embezzlement, or misapplication by bank officer or employee    8286
SEC. 657    Lending, credit and insurance institutions    8287
SEC. 709    False advertising or misuse of names to indicate Federal agency    8289
SEC. 986    Subpoenas for bank records    8291
SEC. 1001    Statements or entries generally    8293
SEC. 1004    Certification of checks    8293
SEC. 1005    Bank entries, reports and transactions    8293
SEC. 1006    Federal credit institution entries, reports and transactions    8294
SEC. 1007    Federal Deposit Insurance Corporation transactions    8295
SEC. 1014    Loan and credit applications generally; renewals and discounts; crop insurance    8295
SEC. 1032    Concealment of assets from conservator, receiver, or liquidating agent of financial institution    8296
SEC. 1114    Protection of officers and employees of the United States    8296
SEC. 1306    Participation by financial institutions    8297
SEC. 1341    Frauds and swindles    8297
SEC. 1343    Fraud by wire, radio, or television    8299
SEC. 1344    Bank fraud    8299
SEC. 1517    Obstructing examination of financial institution    8299
SEC. 1905    Disclosure of confidential information generally    8299
SEC. 1906    Disclosure of information from a bank examination report    8300
SEC. 1909    Examiner performing other services    8300
SEC. 1956    Laundering of monetary instruments    8301
SEC. 1957    Engaging in monetary transactions in property derived from specified unlawful activity    8306
SEC. 2113    Bank robbery and incidental crimes    8306.01
SEC. 2314    Transportation of stolen goods, securities, moneys, fraudulent State tax stamps, or articles used in counterfeiting    8308
SEC. 3056    Powers, authority, and duties of United States Secret Service    8308
SEC. 3056A    Powers, authorities, and duties of United States Secret Service Uniformed Division    8310.01
SEC. 3293    Financial institution offenses    8310.02
SEC. 3322    Disclosure of certain matters occurring before grand jury    8310.02
SEC. 6001    Definitions    8310.03
SEC. 6002    Immunity generally    8310.03
SEC. 6003    Court and grand jury proceedings    8311
SEC. 6004    Certain administrative proceedings    8311
SEC. 6005    Congressional proceedings    8312



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