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6000 - Bank Holding Company Act
BANK HOLDING COMPANY ACT
______________
TABLE OF CONTENTS
Bank Holding Company Act of 1956
SEC. 1.
Short Title
SEC. 2.
Definitions
SEC. 3.
Acquisition of Bank Shares or Assets
SEC. 4.
Interests in Nonbanking Organizations
SEC. 5.
Administration
SEC. 6.
[Repealed]
SEC. 7.
Reservation of rights to States
SEC. 8.
Penalties
SEC. 9.
Judicial Review
SEC. 10A.
[Repealed]
SEC. 11.
SEC. 105
Acquisition of subsidiary and tying arrangement; Federal Reserve Board
proceedings; application for authorization; competitor or as party
interest and person aggrieved; judicial review
SEC. 618
Securities holding companies
SEC. 13
Prohibitions on proprietary trading and certain relationships with
hedge Funds and private equity funds
SEC. 14
Concentration limits on large financial firms
Tying Arrangements
SEC. 106(a)
Definitions
SEC. 106(b)
Certain tying arrangements; prohibited; correspondent accounts
SEC. 106(c)
Jurisdiction of courts; duty of United States attorneys; equitable
proceedings; petition; expedition of cases; temporary restraining
orders; bringing in additional parties; subpenas
SEC. 106(d)
Actions by United States; subpenas for witnesses
SEC. 106(e)
Civil actions by persons injured; jurisdiction and venue; amount of
recovery
SEC. 106(f)
Injunctive relief for persons against threatened loss or damages;
equitable proceedings; preliminary injunctions
SEC. 106(g)
Limitation of actions; suspension of limitations
SEC. 106(h)
Actions under other Federal or State laws unaffected; regulations or
orders barred as a defense
Part 225—Bank Holding Companies And Change in Bank Control
(Regulation Y)
REGULATIONS
Subpart A—General Provisions
SEC. 225.1
Authority, purpose, and scope
SEC. 225.2
Definitions
SEC. 225.3
Administration
SEC. 225.4
Corporate practices
SEC. 225.5
Registration, reports, and inspections
SEC. 225.6
Penalties for violations
SEC. 225.7
Exceptions to tying restrictions
Subpart B—Acquisition of Bank Securities or Assets
SEC. 225.11
Transactions requiring Board approval
SEC. 225.12
Transactions not requiring Board approval
SEC. 225.13
Factors considered in acting on bank acquisition proposals
SEC. 225.14
Expedited action for certain bank acquisitions by well-run bank holding
companies
SEC. 225.15
Procedures for other bank acquisition proposals
SEC. 225.16
Public notice, comments, hearings, and other provisions governing
applications and notices
SEC. 225.17
Notice procedure for one-bank holding company formations
Subpart C—Nonbanking Activities and Acquisitions by Bank Holding
Companies
SEC. 225.21
Prohibited nonbanking activities and acquisitions; exempt bank holding
companies
SEC. 225.22
Exempt nonbanking activities and acquisitions
SEC. 225.23
Expedited action for certain nonbanking proposals by well-run bank
holding companies
SEC. 225.24
Procedures for other nonbanking proposals
SEC. 225.25
Hearings, alteration of activities, and other matters
SEC. 225.26
Factors considered in acting on nonbanking proposals
SEC. 225.27
Procedures for determining scope of nonbanking activities
SEC. 225.28
List of permissible nonbanking activities
Subpart D—Control and Divestiture Proceedings
SEC. 225.31
Control proceedings
Subpart E—Change in Bank Control
SEC. 225.41
Transactions requiring prior notice
SEC. 225.42
Transactions not requiring prior notice
SEC. 225.43
Procedures for filing, processing, publishing and acting on notices
SEC. 225.44
Reporting of stock loans
Subpart F—Limitations on Nonbank Banks
SEC. 225.52
Limitation on overdrafts
Subpart G—Appraisal Standards for Federally Related Transactions
SEC. 225.61
Authority, purpose, and scope
SEC. 225.62
Definitions
SEC. 225.63
Appraisals required; transactions requiring a state certified or
licensed appraiser
SEC. 225.64
Minimum appraisal standards
SEC. 225.65
Appraiser independence
SEC. 225.66
Professional association membership; competency
SEC. 225.67
Enforcement
Subpart H—Notice of Addition or Change of Directors and Senior
Executive Officers
SEC. 225.71
Definitions
SEC. 225.72
Director and officer appointments; prior notice requirement
SEC. 225.73
Procedures for filing, processing, and acting on notices; standards for
disapproval; waiver of notice
Subpart I—Financial Holding Companies
SEC. 225.81
What is a financial holding company?
SEC. 225.82
How does a bank holding company elect to become a financial holding
company?
SEC. 225.83
What are the consequences of failing to continue to meet applicable
capital and management requirements?
SEC. 225.84
What are the consequences of failing to maintain a satisfactory or
better rating under the Community Reinvestment Act at all insured
depository institution subsidiaries?
SEC. 225.85
Is notice to or approval from the Board required prior to engaging in a
financial activity?
SEC. 225.86
What activities are permissible for any financial holding com-
pany?
SEC. 225.87
Is notice to the Board required after engaging in a financial
activity?
SEC. 225.88
How to request the Board to determine that an activity is financial in
nature or incidental to a financial activity?
SEC. 225.89
How to request approval to engage in an activity that is complementary
to a financial activity?
SEC. 225.90
What are the requirements for a foreign bank to be treated as a
financial holding company?
SEC. 225.91
How may a foreign bank elect to be treated as a financial holding
company?
SEC. 225.92
How does an election by a foreign bank become effective?
SEC. 225.93
What are the consequences of a foreign bank failing to continue to meet
applicable capital and management requirements?
SEC. 225.94
What are the consequences of an insured branch or depository
institution failing to maintain a satisfactory or better rating under
the Community Reinvestment Act?
INTERPRETATIONS
SEC. 225.101
Bank holding company's subsidiary banks owning shares of nonbanking
companies
SEC. 225.102
Bank holding company indirectly owning nonbanking company through
subsidiaries
SEC. 225.103
Bank holding company acquiring stock by dividends, stock splits or
exercise of rights
SEC. 225.104
``Services'' under section 4(c)(1) of Bank Holding Company Act
SEC. 225.107
Acquisition of stock in small business investment company. .
SEC. 225.109
``Services'' under section 4(c)(1) of Bank Holding Company Act
SEC. 225.111
Limit on investment by bank holding company system in stock of small
business investment companies
SEC. 225.112
Indirect control of small business concern through convertible
debentures held by small business investment company
SEC. 225.113
Services under section 4(a) of Bank Holding Company Act
SEC. 225.115
Applicability of Bank Service Corporation Act in certain bank holding
company situations
SEC. 225.118
Computer services for customers of subsidiary banks
SEC. 225.121
Acquisition of Edge corporation affiliate by State member banks of
registered bank holding company
SEC. 225.122
Bank holding company ownership of mortgage companies
SEC. 225.123
Activities closely related to banking
SEC. 225.124
Foreign bank holding companies
SEC. 225.125
Investment adviser activities
SEC. 225.126
Activities not closely related to banking
SEC. 225.127
Investment in corporations or projects designed primarily to promote
community welfare
SEC. 225.129
Activities closely related to banking
SEC. 225.130
Issuance and sale of short-term debt obligations by bank holding
companies
SEC. 225.131
Activities closely related to banking
SEC. 225.132
Acquisition of assets
SEC. 225.133
Computation of amount invested in foreign corporations under general
consent procedures
SEC. 225.134
Escrow arrangements involving bank stock resulting in a violation of
the Bank Holding Company Act
SEC. 225.136
Utilization of foreign subsidiaries to sell long-term debt obligations
in foreign markets and to transfer the proceeds to their United States
parent(s) for domestic purposes
SEC. 225.137
Acquisition of shares pursuant to section 4(c)(6) of the Bank Holding
Company Act
SEC. 225.138
Statement of policy concerning divestitures by bank holding companies
SEC. 225.139
Presumption of continued control under section 2(g)(3) of the Bank
Holding Company Act
SEC. 225.140
Disposition of property acquired in satisfaction of debts previously
contracted
SEC. 225.141
Operations subsidiaries of a bank holding company
SEC. 225.142
Statement of policy concerning bank holding companies engaging in
futures, forward and options contracts on U.S. Government and agency
securities and money market instruments
SEC. 225.143
Policy statement on nonvoting equity investments by bank holding
companies
SEC. 225.145
Limitations established by the Competitive Equality Banking Act of 1987
on the activities and growth of nonbank banks
Subpart J—Merchant Banking Investments
SEC. 225.170
What type of investments are permitted by this subpart, and under what
conditions may they be made?
SEC. 225.171
What are the limitations on managing or operating a portfolio company
held as a merchant banking investment?
SEC. 225.172
What are the holding periods permitted for merchant banking
investments?
SEC. 225.173
How are investments in private equity funds treated under this
subpart?
SEC. 225.174
What aggregate thresholds apply to merchant banking
investments?
SEC. 225.175
What risk management, record keeping and reporting policies are
required to make merchant banking investments?
SEC. 225.176
How do the statutory cross marketing and sections 23A and B limitations
apply to merchant banking investments?
SEC. 225.177
Definitions
Subpart K—Proprietary Trading and Relationships With Hedge Funds
and Private Equity Funds
SEC. 225.180
Definitions
SEC. 225.181
Conformance period for banking entities engaged in prohibited
proprietary trading or private fund activities
SEC. 225.182
Conformance period for nonbank financial companies supervised by the
Board engaged in proprietary trading or private fund activities
Subpart L—Conditions to Orders
SEC. 225.200
Conditions to Board's section 20 orders
Appendices to Subparts
Appendix A—Capital Adequacy
Guidelines for Bank Holding Companies: Risk-Based Measure
Appendix B—Capital Adequacy
Guidelines for Bank Holding Companies and State Member Banks: Leverage
Measure
Appendix C—Small Bank
Holding Company Policy Statement
Appendix D—Capital Adequacy
Guidelines for Bank Holding Companies: Tier 1 Leverage Measure
Appendix E to Part
225—Capital Adequacy Guidelines for Bank Holding Companies: Market
Risk Measure
Appendix F To Part
225—Interagency Guidelines Establishing Standards For Safeguarding
Customer Information
Appendix G to Part
225—Capital Adequacy Guidelines for Bank Holding Companies:
Internal-Ratings-Based and Advanced Measurement Approaches
Supplement A to
Appendix F to Part 225—Interagency Guidance on Response Programs for
Unauthorized Access to Customer Information and Customer Notice
Appendices to Subparts
Policy statement of the Board of
Governors of the Federal Reserve System for assessing the financial
factors in the formation of small one-bank holding companies pursuant
to the Bank Holding Company Act
Policy statement regarding
compliance with the 1980 requirements of the Bank Holding Company Act
Policy on the
responsibility of bank holding companies to act as sources of strength
to their subsidiary banks
Part 265—Rules Regarding Delegation of Authority
SEC. 265.1
Authority, purpose, and scope
SEC. 265.2
Delegation of functions generally
SEC. 265.3
Board review of delegated actions
SEC. 265.4
Functions delegated to Board Members
SEC. 265.5
Functions delegated to Secretary of the Board
SEC. 265.6
Functions delegated to General Counsel
SEC. 265.7
Functions delegated to Director of Division of Banking Supervision and
Regulation
SEC. 265.8
Functions delegated to the Staff Director of Division of International
Finance
SEC. 265.9
Functions delegated to the Director of Division of Consumer and
Community Affairs
SEC. 265.10
Functions delegated to Secretary of Federal Open Market Committee
SEC. 265.11
Functions delegated to Federal Reserve banks
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