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FDIC Law, Regulations, Related Acts

[Main Tabs]     [Table of Contents - 8000]     [Index]     [Previous Page]     [Next Page]     [Search] 8000 - FDIC Miscellaneous Statutes and Regulations TITLE II—SMALL BUSINESS CAPITAL FORMATION Subtitle A—Small Business Loan Securitization SEC. 208    Insured depository institution capital requirements for transfers of small business obligations    8890 SEC. 210    Consistent use of financial terminology    8890.01 Subtitle B—Small Business Capital Enhancement SEC. 251    Findings and Purpose    8890.02 SEC. 252    Definitions    8890.02 SEC. 253    Approving states for participation    8890.03 SEC. 254    Participation agreements    8890.04 SEC. 255    Terms of participation agreements    8890.05 SEC. 256    Reports    8890.08 SEC. 257    Reimbursement by the fund    8890.09 SEC. 258    Reimbursement to the fund    8890.10 SEC. 259    Regulations    8890.10 {{10-31-07 p.8020.01}} SEC. 260    Authorization of appropriations    8890.10 SEC. 261    Effective date    8890.11 TITLE III—PAPERWORK REDUCTION AND REGULATORY IMPROVEMENT SEC. 301    Incorporated definitions    8890.11 SEC. 302    Administrative consideration of burden with new regulations    8890.11 SEC. 303    Streamlining of regulatory requirements    8890.11 SEC. 304    Elimination of duplicative filings    8890.12 SEC. 307    Call report simplification    8890.12 SEC. 309    Regulatory appeals process, Ombudsman, and alternative dispute resolution    8890.13 SEC. 328    Study and report on capital standards and their impact on the economy    8890.15 SEC. 329    Study on the impact of the payment of interest on reserves    8890.15 SEC. 330    Study and report on the consumer credit system    8890.16 SEC. 341    Feasibility study of data bank    8890.16 SEC. 342    Timely completion of CRA review    8890.17 SEC. 343    Time limit on agency consideration of completed applications    8890.17 SEC. 344    Waiver of right of rescission for certain refinancing transactions    8890.17 SEC. 350    Revising regulatory requirements for transfers of all types of assets with recourse    8890.17 TITLE IV—MONEY LAUNDERING SEC. 401    Short title    8890.18 SEC. 404    Improvement of identification of money laundering schemes    8890.18 TITLE V—NATIONAL FLOOD INSURANCE REFORM SEC. 501    Short title    8890.19 Subtitle E—Task Forces SEC. 561    Flood insurance interagency task force    8890.19 SECURITIES ACT OF 1933 SEC.  1.    Short title    8977 SEC.  2.    Definitions    8977 SEC.  2A.    Swap agreements    8980 SEC.  3.    Exempted securities    8980 SEC.  4.    Exempted transactions    8984 SEC.  5.    Prohibitions relating to interstate commerce and the mails    8984.01 SEC.  6.    Registration of securities and signing of registration statement    8985 SEC.  7.    Information required in registration statement    8986 SEC.  8.    Taking effect of registration statements and amendments thereto    8986.01 SEC. 8A.    Cease-and-desist proceedings    8986.02 SEC.  9.    Court review of orders    8986.04 SEC. 10.    Information required in prospectus    8986.04 SEC. 11.    Civil liabilities on account of false registration statement    8987 SEC. 12.    Civil liabilities arising in connection with prospectuses and communications    8990 SEC. 13.    Limitation of actions    8990 SEC. 14.    Contrary stipulations void    8990 SEC. 15.    Liability of controlling persons    8990.01 SEC. 16.    Additional remedies    8990.01 SEC. 17.    Fraudulent interstate transactions    8991 SEC. 18.    State control of securities    8991 SEC. 19.    Special powers of Commission    8992.01 {{10-31-07 p.8020.02}} SEC. 20.    Injunctions and prosecution of offenses    8993 SEC. 21.    Hearings by Commission    8994.01 SEC. 22.    Jurisdiction of offenses and suits    8994.01 SEC. 23.    Unlawful representations    8994.02 SEC. 24.    Penalties    8994.02 SEC. 25.    Jurisdiction of other Government agencies over securities    8994.02 SEC. 26.    Separability of provisions    8994.02 SEC. 27.    Private securities litigation    8994.02 SEC. 27A.    Application of safe harbor for forward-looking statements    8994.06 SEC. 28.    General exemptive authority    8994.09 SCHEDULE A    8994.09 SCHEDULE B    8997 SECURITIES EXCHANGE ACT OF 1934   SEC.  1.    Short title    9169 SEC.  2.    Necessity for regulation as provided in this title    9169 SEC.  3.    Definitions and application of title    9173 SEC.  3A.    Swap agreements    9186.04 SEC.  4.    Securities and Exchange Commission    9186.04 SEC.  4A.    Delegation of functions by Commission    9186.06 SEC.  4B.    Transfer of functions with respect to appointment of personnel to Chairman    9186.07 SEC.  4C.    Appearance and practice before the Commission    9186.07 SEC.  5.    Transactions on unregistered exchanges    9186.07 SEC.  6.    National securities exchanges    9186.08 SEC.  7.    Margin requirements    9189 SEC.  8.    Restrictions on borrowing by members, brokers, and dealers    9192 SEC.  9.    Prohibition against manipulation of security prices    9193 SEC. 10.    Regulation of the use of manipulative and deceptive devices    9194.01 SEC. 10A.    Audit requirements    9194.02 SEC. 11.    Trading by members of exchanges, brokers, and dealers    9194.04-B SEC. 11A.    National market system for securities; securities information processors    9195 SEC. 12.    Registration requirements for securities    9200 SEC. 13.    Periodical and other reports    9206 SEC. 14.    Proxies    9214 SEC. 15.    Registration and regulation of brokers and dealers    9216.04 SEC. 15A.    Registered securities associations    9226.02 SEC. 15B.    Municipal securities    9228.02-B-1 SEC. 15C.    Government securities brokers and dealers    9228.06 SEC. 15D.    Securities analysts and research reports    9228.16 SEC. 15E.    Registration of nationally recognized statistical rating organizations    9230 SEC. 16.    Directors, officers, and principal stockholders    9234.02 SEC. 17.    Accounts and records, reports, examinations of exchanges, members, and others    9234.03 SEC. 17A.    National system for clearance and settlement of securities transactions    9238.02 SEC. 17B.    Automated quotation systems for penny stocks    9240.03 SEC. 18.    Liability for misleading statements    9240.04 SEC. 19.    Registration, responsibilities, and oversight of self-regulatory organizations    9240.05 SEC. 20.    Liabilities of controlling persons and persons who aid and abet violations    9246 SEC. 20A.    Liability to contemporaneous traders for insider trading    9246.01 {{10-31-07 p.8020.03}} SEC. 21.    Investigations; injunctions and prosecution of offenses    9247 SEC. 21A.    Civil penalties for insider trading    9252.01 SEC. 21B.    Civil remedies in administrative proceedings    9254 SEC. 21C.    Cease-and-desist proceedings    9255 SEC. 21D.    Private securities litigation    9258 SEC. 21E.    Application of safe harbor for forward-looking statements    9258.06 SEC. 22.    Hearings by Commission    9258.09 SEC. 23.    Rules, regulations, and orders; annual reports    9258.09 SEC. 24.    Public availability of information    9258.11 SEC. 25.    Court review of orders and rules    9258.12 SEC. 26.    Unlawful representations    9258.14 SEC. 27.    Jurisdiction of offenses and suits    9258.14 SEC. 27A.    Special provision relating to statute of limitations on private causes of action    9258.15 SEC. 28.    Effect on existing law    9258.15 SEC. 29.    Validity of contracts    9258.18 SEC. 30.    Foreign securities exchanges    9258.19 SEC. 30A.    Foreign corrupt practices by issuers    9259 SEC. 31.    Transaction fees    9269 SEC. 32.    Penalties    9271 SEC. 33.    Separability of provisions    9272 SEC. 34.    Effective date    9272 SEC. 35.    Authorization of appropriations    9272 SEC. 35A.    Requirements for the Edgar System    9273 SEC. 36.    General Exempted Authority    9275 SEC. 37.    Tennessee Valley Authority    9275 INVESTMENT COMPANY ACT OF 1940 SEC. 1    Findings and declaration of policy    9283 SEC. 2    General definitions    9284 SEC. 3    Definition of investment company    9293 SEC. 4    Classification of investment companies    9297 SEC. 5    Subclassification of management companies    9298 SEC. 6    Exemptions    9298 SEC. 7    Transactions by unregistered investment companies    9298.03 SEC. 8    Registration of investment companies    9298.04 SEC. 9    Ineligibility of certain affiliated persons and underwriters    9299 SEC. 10    Affiliations of directors    9301 SEC. 11    Offers of exchange    9302 SEC. 12    Functions and activities of investment companies    9303 SEC. 13    Changes in investment policy    9306.01 SEC. 14    Size of investment companies    9307 SEC. 15    Investment advisory and underwriting contracts    9307 SEC. 16    Changes in board of directors; provisions relative to strict trusts    9309 SEC. 17    Transactions of certain affiliated persons and underwriters    9311 SEC. 18    Capital structure    9314 SEC. 19    Dividends    9317 SEC. 20    Proxies; voting trusts; circular ownership    9317 SEC. 21    Loans    9318 SEC. 22    Distribution, redemption, and repurchase of redeemable securities    9318 SEC. 23    Distribution and repurchase of securities; closed-end companies    9320 SEC. 24    Registration of securities under Securities Act of 1933    9320 SEC. 25    Plans of reorganization    9322 SEC. 26    Unit investment trusts    9323 {{10-31-07 p.8020.04}} SEC. 27    Periodic payment plans    9325 SEC. 28    Face-amount certificate companies    9326.02 SEC. 30    Periodic and other reports; reports of affiliated persons    9332 SEC. 31    Accounts and records    9335 SEC. 32    Accountants and auditors    9336 SEC. 33    Filing of documents with Commission in civil actions    9337 SEC. 34    Destruction and falsification of reports and records    9337 SEC. 35    Unlawful representations and names    9338 SEC. 36    Breach of fiduciary duty    9338 SEC. 37    Larceny and embezzlement    9338.01 SEC. 38    Rules, regulations, and orders; general powers of Commission    9338.01 SEC. 39    Rules and regulations; procedure for issuance    9339 SEC. 40    Orders; procedure for issuance    9339 SEC. 41    Hearings by Commission    9339 SEC. 42    Enforcement of title    9339 SEC. 43    Court review of orders    9341 SEC. 44    Jurisdiction of offenses and suits    9342 SEC. 45    Information filed with Commission    9342.01 SEC. 46    Annual reports of Commission; employees of the Commission    9342.01 SEC. 47    Validity of contracts    9343 SEC. 48    Liability of controlling persons; preventing compliance with title    9343 SEC. 49    Penalties    9343 SEC. 50    Effect on existing law    9344 SEC. 51    Separability of provisions    9344 SEC. 52    Short title    9344 SEC. 53    Effective date    9344 SEC. 54    Election to be regulated as a business development company    9344 SEC. 55    Functions and activities of business development companies    9345 SEC. 56    Qualifications of directors    9346 SEC. 57    Transactions with certain affiliates    9347 SEC. 58    Changes in investment policy    9350.01 SEC. 59    Incorporation of provisions    9351 SEC. 60    Functions and activities of business development companies    9351 SEC. 61    Capital structure    9351 SEC. 62    Loans    9353 SEC. 63    Distribution and repurchase of securities    9353 SEC. 64    Accounts and records    9354 SEC. 65    Liability of controlling persons; preventing compliance with title    9354 INVESTMENT ADVISERS ACT OF 1940 SEC. 201    Findings    9363 SEC. 202    Definitions    9363 SEC. 203    Registration of investment advisers    9366.01 SEC. 203A    State and federal responsibilities    9373 SEC. 204    Annual and other reports    9374 SEC. 204A    Prevention of misuse of nonpublic information    9374 SEC. 205    Investment advisory contracts    9374.01 SEC. 206    Prohibited transactions by investment advisers    9374.02 SEC. 206A    Exemptions    9375 SEC. 207    Material misstatements    9375 SEC. 208    General prohibitions    9375 SEC. 209    Enforcement of title    9376 SEC. 210    Publicity    9378 SEC. 210A    Consultation    9378 {{12-31-07 p.8020.05}} SEC. 211    Rules, regulations and orders    9378.01 SEC. 212    Hearings    9378.01 SEC. 213    Court review of orders    9379 SEC. 214    Jurisdiction of offenses and suits    9379 SEC. 215    Validity of contracts    9380 SEC. 216    Annual reports of Commission    9380 SEC. 217    Penalties    9380 SEC. 218    Hiring and leasing authority of the Commission    9381 SEC. 219    Separability of provisions    9381 SEC. 220    Short title    9381 SEC. 221    Effective date    9381 SEC. 222    State regulation of investment advisers    9381 PART 32—LENDING LIMITS SEC. 32.1    Authority, purpose and scope    9385 SEC. 32.2    Definitions    9385 SEC. 32.3    Lending Limits    9389 SEC. 32.4    Calculations of lending limits    9393 SEC. 32.5    Combination rules    9394 SEC. 32.6    Nonconforming loans    9396 SEC. 32.7    Pilot program for residential real estate and small business loans    9396 PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 SEC. 240.10b-5    Employment of manipulative and deceptive devices    9401 SEC. 240.10b-6    [Reserved] SEC. 240.10b-13    [Reserved] SEC. 240.10b-17    Untimely announcements of record dates    9401 SEC. 240.10b-18    Purchases of certain equity securities by the issuer and others    9403 SEC. 240.13e-3    Going private transactions by certain issuers or their affiliates    9407 SEC. 240.13e-4    Tender offers by issuers    9413 SEC. 240.13e-100    Schedule 13E-3, Transaction statement under section 13(e) of the Securities Exchange Act of 1934 and Rule 13e-3 (§ 240.13e-3) thereunder    9421 SEC. 240.13e-101    [Reserved] SEC. 240.13f-1    Reporting by institutional investment managers of information with respect to accounts over which they exercise investment discretion    9425 SEC. 240.14e-1    Unlawful tender offer practices    9426 SEC. 240.14e-2    Position of subject company with respect to a tender offer    9430.01 SEC. 240.14e-3    Transactions in securities on the basis of material, nonpublic information in the context of tender offers    9430.01 SEC. 240.16a-1    Definition of terms    9432 SEC. 240.16a-2    Persons and transactions subject to section 16    9432.03 SEC. 240.16a-3    Reporting transactions and holdings    9432.04 SEC. 240.16a-4    Derivative securities    9432.06 SEC. 240.16a-5    Odd-lot dealers    9432.06 SEC. 240.16a-6    Small acquisitions    9432.06 SEC. 240.16a-7    Transactions effected in connection with a distribution    9432.07 SEC. 240.16a-8    Trusts    9432.07 SEC. 240.16a-9    Stock splits, stock dividends, and pro rata rights    9432.08 SEC. 240.16a-10    Exemptions under 16(a)    9432.08-A SEC. 240.16a-11    Dividend or interest reinvestment plans    9432.09 SEC. 240.16a-12    Domestic relations orders    9432.09 {{12-31-07 p.8020.06}} SEC. 240.16a-13    Change in form of beneficial ownership    9432.09 SEC. 240.16b-1    Transactions approved by a regulatory authority    9432.09 SEC. 240.16b-2    [Reserved] SEC. 240.16b-3    Transactions between an issuer and its officers or directors    9432.09 SEC. 240.16b-4    [Reserved] SEC. 240.16b-5    Bona fide gifts and inheritance    9432.12 SEC. 240.16b-6    Derivative securities    9432.12 SEC. 240.16b-7    Mergers, reclassifications, and consolidations    9432.13 SEC. 240.16b-8    Voting trusts    9432.13 SEC. 240.16c-1    Brokers    9432.15 SEC. 240.16c-2    Transactions effected in connection with a distribution    9432.15 SEC. 240.16c-3    Exemption of sales of securities to be acquired    9432.15 SEC. 240.16c-4    Derivative securities    9432.15 SEC. 240.16e-1    Arbitrage transactions under section 16    9432.15 SEC. 240.17Ac2-2    Annual reporting requirement for registered transfer agents    9432.16 SEC. 240.17Ad-1    Definitions    9432.16-A SEC. 240.17Ad-2    Turnaround `processing' and forwarding of items    9434 SEC. 240.17Ad-3    Limitations on expansion    9434.01 SEC. 240.17Ad-4    Applicability of §§ 240.17Ad-2, 240.17Ad-3, and 240.17Ad-6(a)(1) through (7) and (11)    9435 SEC. 240.17Ad-5    Written inquiries and requests    9435 SEC. 240.17Ad-6    Recordkeeping    9436.01 SEC. 240.17Ad-7    Record retention    9438 SEC. 240.17Ad-8    Securities position listings    9438.02 SEC. 240.17Ad-9    Definitions    9438.02 SEC. 240.17Ad-10    Prompt posting of certificate detail to master securityholder files, maintenance of accurate securityholder files, communications between co-transfer agents and recordkeeping transfer agents, maintenance of current control book, retention of certificate detail and ``buy-in'' of physical over-issuance    9438.02-A SEC. 240.17Ad-11    Reports regarding aged record differences, buy-ins and failure to post certificate detail to master security holder and subsidiary files    9438.04 SEC. 240.17Ad-12    Safeguarding of funds and securities    9438.05 SEC. 240.17Ad-13    Annual study and evaluation of internal accounting control    9438.06 SEC. 240.17Ad-14    Tender agents    9439 SEC. 240.17Ad-15    Signature guarantees    9440 SEC. 240.17Ad-16    Notice of assumption or termination of transfer agent services    9440.02 SEC. 240.17Ad-17    Transfer agents' obligation to search for lost securityholders    9440.03 SEC. 240.17Ad-19    Requirements for cancellation, processing, storage, transportation and destruction or other disposition of securities certificates    9440.04 SEC. 240.17Ad-20    Issuer restrictions or prohibitions on ownership by securities intermediaries    9440.05 SEC. 240.17f-1    Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities    9440.05 SEC. 240.17f-2    Fingerprinting of securities industry personnel    9442.01 PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934 SEC. 249.220f    Form 20–F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a–19 or 15d–19 (§ 240.13a–19 or § 240.15d–19 of this chapter)    9457 SEC. 249.325    Form 13–F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934    9457 {{12-31-07 p.8020.07}} PART 249b—FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934 SEC. 249b.102    Form TA-2    9458 [Main Tabs]     [Table of Contents - 8000]     [Index]     [Previous Page]     [Next Page]     [Search]

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