For banks with publicly distributed equity securities subject to the registration provisions of sections of the Securities Exchange Act of 1934 (the Exchange Act) and Part 335, the FDIC is vested with the powers, functions, and duties of the U.S. Securities and Exchange Commission (SEC) to administer and enforce various securities regulations.
Laws and Regulations
Key laws and regulations that pertain to FDIC-supervised institutions; note that other laws and regulations also may apply.
Part 335 — Securities of State Nonmember Banks and State Savings Associations
applies to securities issued by FDIC-insured State nonmember banks (including foreign banks having an insured branch) and State savings associations that are subject to the registration requirements of section 12(b) or section 12(g) of the Exchange Act
Frequently asked questions, advisories, statements of policy, and
other information issued by the FDIC alone, or on an interagency
basis, provided to promote safe-and-sound operations.
Statement of Policy Regarding Use of Offering Circulars in Connection with Public Distribution of Bank Securities provides guidance for disclosure of all material facts when bank securities are sold to the public and is intended to protect against the risk of capital loss or litigation that could result if the securities are sold in violation of the antifraud provisions of federal securities laws
Supplemental information related to safe-and-sound
Securities Exchange Act Filings System provides search capabilities for beneficial ownership filings and other securities disclosure documents filed by or pertaining to FDIC-supervised institutions with a class of securities registered under the Exchange Act
U.S. Securities and Exchange Commission promotes fair, orderly, and efficient securities markets and protects investors which in turn facilitates capital formation