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Each depositor insured to at least $250,000 per insured bank

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8000 - Miscellaneous Statutes and Regulations


MISCELLANEOUS STATUTES AND REGULATIONS
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TABLE OF CONTENTS


ADMINISTRATIVE PROCEDURE

Chapter 5—Administrative Procedure

SUBCHAPTER I—GENERAL PROVISIONS

SEC. 500 Administrative practice; general provisions
SEC. 501 Advertising practice; restrictions
SEC. 502 Administrative practice; Reserves and National Guardsmen
SEC. 503 Witness fees and allowances
SEC. 504 Costs and fees of parties

SUBCHAPTER II—ADMINISTRATIVE PROCEDURE


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

Chapter 6—The Analysis of Regulatory Functions


SEC. 601 Definitions
SEC. 602 Regulatory agenda
SEC. 603 Initial regulatory flexibility analysis
SEC. 604 Final regulatory flexibility analysis
SEC. 605 Avoidance of duplicative or unnecessary analyses
SEC. 606 Effect on other law
SEC. 607 Preparation of analyses
SEC. 608 Procedure for waiver or delay of completion
SEC. 609 Procedures for gathering comments
SEC. 610 Periodic review of rules
SEC. 611 Judicial review
SEC. 612 Reports and intervention rights

Chapter 7—Judicial Review


SEC. 701 Application; definitions
SEC. 702 Right of review
SEC. 703 Form and venue of proceeding
SEC. 704 Actions reviewable
SEC. 705 Relief pending review
SEC. 706 Scope of review

ANNUZIO-WYLIE ANTI-MONEY LAUNDERING ACT OF 1992


SEC. 1542 Reports of information regarding safety and soundness of depository institutions

BANK PROTECTION ACT OF 1968


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

BANK RECORDS AND FOREIGN TRANSACTIONS


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

BANK SERVICE COMPANY ACT


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

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
Sec. 400.2 Office responsible for regulations; filing of requests for exemptions, for interpretations, and for other materials
Sec. 400.3 Definitions
Sec. 400.4 Information concerning associated persons of financial institutions that are government securities brokers or dealers
Sec. 400.5 Amendments to application for registration and to notice of status as a government securities broker or dealer
Sec. 400.6 Notice of withdrawal from business as a government securities broker or dealer by a financial institution

PART 401—EXEMPTIONS


Sec. 401.1 Exemption for organizations handling transactions in United States Savings Bonds
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
Sec. 401.3 Exemption for financial institutions that are engaged in limited government securities brokerage activities
Sec. 401.4 Exemption for financial institutions engaged in limited government securities dealer activities
Sec. 401.5 Exemption for corporate credit unions transacting limited government securities business with other credit unions
Sec. 401.6 Exemption for branches and agencies of foreign banks that deal solely with non-United States citizens resident offshore
Sec. 401.7 Temporary exemption for certain government securities brokers and dealers terminating business on or before October 31, 1987
Sec. 401.8 Temporary exemption for government securities brokers and dealers that are futures commission merchants registered with the CFTC

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

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
Sec. 403.7 Effective dates

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

PART 405—REPORTS AND AUDIT


Sec. 405.1 Application of part to registered brokers and dealers and to financial institutions; transaction rule
Sec. 405.4 Financial recordkeeping and reporting of currency and foreign transactions by registered government securities brokers and dealers

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
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
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
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

PART 450—CUSTODIAL HOLDINGS OF GOVERNMENT SECURITIES BY DEPOSITORY INSTITUTIONS


Sec. 450.1 Scope of regulations; office responsible
Sec. 450.2 Definitions
Sec. 450.3 Exemption for holdings subject to fiduciary standards
Sec. 450.4 Custodial holdings of government securities
Sec. 450.5 Effective date

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
DT-2 Custodial holdings of government securities by depository institutions
DT-3 Confirmation of government securities transactions
DT-4 Application of the Government Securities Act to the operations of a trust department
DT-5 Financial institutions performing clearing and custodial services for exempt depository institutions are subject to ``no lien'' provision of section 450.4
DT-6 Interpretation of the temporary lag provision in section 403.5; hold-in-custody repurchase transactions
DT-7 Distinctions between ``tri-party'' and ``hold-in-custody'' repurchase agreement transactions
DT-8 Clarification of the purpose of Treasury Form PD 1832
DT-8A Continuing misuse of Form PD F 1832
DT-9 Interpretation regarding the proper treatment of government securities in certain repurchase transactions

CRIMINAL LAWS AND PROCEDURES

Applicable Sections of Title 18, United States Code


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


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