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8000 - Miscellaneous Statutes and Regulations
MISCELLANEOUS STATUTES AND REGULATIONS
______________
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
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
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
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
