Statutes and regulations

Allegations of Misconduct by Department of Justice Employees—General Considerations

Justice Manual § 1-4.200 · Federal · Agency guidance

Agency Guidance › DOJ Justice Manual › Title 1: Organization and Functions › 1-4.000 - Standards Of Conduct › Justice Manual § 1-4.200

Under such circumstances, the representing attorneys are prohibited from disclosing in the course of an OPR or OIG investigation (or an OIG audit, inspection, or evaluation) information they possess regarding … In those limited circumstances, a Department attorney who has a good-faith basis for asserting the attorney-client privilege over information requested by OPR or OIG will not face adverse consequences

Unlocatable Patent or Application Files

MPEP § 508.04 · Federal · Agency guidance

Agency Guidance › USPTO MPEP › Chapter 0500 - Receipt and Handling of Mail and Papers › MPEP § 508.04

If applicant or patentee does not possess any record of the correspondence between the Office and the applicant or patentee for such application, patent, or other proceeding, the applicant or patentee … CFR 1.251 , in such a situation the only certified copy of the patent file that the Office will be able to produce will be a copy of the patent and a copy of the application-as-filed (which may have an adverse

Professional Conduct and Reporting Misconduct

USCIS Policy Manual, Vol. 1, Pt. D, Ch. 5 · Federal · Agency guidance

Agency Guidance › USCIS Policy Manual › Volume 1 - General Policies and Procedures › Part D - Attorneys and Representatives › USCIS Policy Manual, Vol. 1, Pt. D, Ch. 5

which would constitute contempt of court in a judicial proceeding; - Being found guilty of, or pleading guilty or no contest to, a serious crime, in any court of the United States, or of any state, possession … which would constitute contempt of court in a judicial proceeding; - Being found guilty of, or pleading guilty or no contest to, a serious crime, in any court of the United States, or of any state, possession

Guidelines Memo Concerning Oakwood Healthcare Inc

NLRB General Counsel Memorandum GC 07-05 · Federal · Agency guidance

NLRB General Counsel Memoranda › Guidelines Memo Concerning Oakwood Healthcare Inc

who shall do it, provided that the direction is "responsible."18 Direction is "responsible" if the person performing the oversight is accountable for others' performance of the task, such that some adverse … That is, the asserted supervisors must be subject to discipline or other adverse consequence because of the failure of their crews to meet production goals or because of other shortcomings of their

Conditional Bars for Acts in Statutory Period

USCIS Policy Manual, Vol. 12, Pt. F, Ch. 5 · Federal · Agency guidance

Agency Guidance › USCIS Policy Manual › Volume 12 - Citizenship and Naturalization › Part F - Good Moral Character › USCIS Policy Manual, Vol. 12, Pt. F, Ch. 5

Exception for Single Offense of Simple Possession [27] The conditional bar to GMC for a controlled substance violation does not apply if the violation was for a single offense of simple possession of … See Subsection 3, Exception for Single Offense of Simple Possession [ 12 USCIS-PM F.5(C)(3) ].

Letter confirms the authority of a national bank to purchase and hold auction rate preferred securities for its own account subject to certain representations and conditions.

OCC Interpretive Letter No. 1126 · Federal · Agency guidance

OCC Interpretive Letters › Letter confirms the authority of a national bank to purchase and hold auction rate preferred securities for its own account subject to certain representations and conditions.

regulation prescribe.”4 OCC regulations define the term “investment security” as “a marketable debt obligation that is not predominantly speculative in nature.”5 The Bank represents that the ARPS possess … i.e., the ARPS pay a fixed yield based on a rate or index not under the control of the issuer or purchaser, rank senior to common stock in the event of liquidation, and are cumulative) that the ARPS possess

Letter concludes that the Corporation, the wholly-owned subsidiary of the Bank, may purchase and hold for its own account shares of certain preferred auction rate securities as investment securities for the purposes of 12 C.F.R. Part 1. The letter's conclusions are subject to certain enforceable conditions under 12 U.S.C. § 1818. The Corporation has agreed to not exercise certain voting rights under the securities. The Corporation and the Bank will enter into an operating with the OCC and an indemnification agreement with the Bank's Holding Company. The Corporation has agreed to hold the securities for a limited period of time, after which the Holding Company will be required to repurchase the securities. The Holding Company has agreed to indemnify the Bank against certain potential losses in connection with these purchases. The Bank must seek prior OCC supervisory non-objection before terminating, modifying, or amending the agreements described in the letter.

OCC Interpretive Letter No. 1115 · Federal · Agency guidance

OCC Interpretive Letters › Letter concludes that the Corporation, the wholly-owned subsidiary of the Bank, may purchase and hold for its own account shares of certain preferred auction rate securities as investment securities for the purposes of 12 C.F.R. Part 1. The letter's conclusions are subject to certain enforceable conditions under 12 U.S.C. § 1818. The Corporation has agreed to not exercise certain voting rights under the securities. The Corporation and the Bank will enter into an operating with the OCC and an indemnification agreement with the Bank's Holding Company. The Corporation has agreed to hold the securities for a limited period of time, after which the Holding Company will be required to repurchase the securities. The Holding Company has agreed to indemnify the Bank against certain potential losses in connection with these purchases. The Bank must seek prior OCC supervisory non-objection before terminating, modifying, or amending the agreements described in the letter.

The Securities all possess characteristics commonly associated with debt instruments: fixed yields, priority over equity shareholders in the case of issuer default, and cumulative dividends. … - - 4 1086, the OCC permitted a national bank’s acquisition of perpetual preferred securities that possessed many characteristics of debt, specifically

Guidance (Interpretive Release No. 2004-02) - Unitary Filing of Suspicious Activity and Blocking Reports (Final Rule)

FinCEN Guidance, Guidance (Interpretive Release No. 2004-02) - Unitary Filing of Suspicious Activity and Blocking Reports (Final Rule), 2004-12-23 · Federal · Agency guidance

FinCEN Guidance (alerts, advisories, notices, bulletins, fact sheets) › Guidance (Interpretive Release No. 2004-02) - Unitary Filing of Suspicious Activity and Blocking Reports (Final Rule)

DATES: This ‘‘direct final’’ rule is effective February 22, 2005, unless EPA receives written adverse comment by January 24, 2005. … If written adverse comment is received, EPA will publish a timely withdrawal of the direct final rule in the Federal Register and inform the public that the rule will not take effect.

Prudent Commercial Real Estate Loan Accommodations and Workouts

SR 23-5 · Federal · Agency guidance

Federal Reserve SR/CA Letters › Prudent Commercial Real Estate Loan Accommodations and Workouts

Even if not legally obligated, financially responsible sponsors are similar to guarantors in that they may also possess the financial ability, the demonstrated willingness, and may have an incentive … Special Mention assets are not adversely classified and do not expose an institution to sufficient risk to warrant adverse classification.

Policy Statement Regarding Certification of New Interstate Natural Gas Facilities

Docket No. PL18-1-000 (2022-02-17): Policy Statement Regarding Certification of New Interstate Natural Gas Facilities · Federal · Agency guidance

FERC Policy Statements › Policy Statement Regarding Certification of New Interstate Natural Gas Facilities

Adverse Effects 94. … The nouns in the phrase possess connotations which have evolved from the half-century experience of government in the regulation of transportation.”); see generally S. Rep.

Subprime Lending

SR 99-6 (GEN) · Federal · Agency guidance

Federal Reserve SR/CA Letters › Subprime Lending

Subprime borrowers represent a broad spectrum of debtors ranging from those who have exhibited repayment problems due to an adverse event, such as job loss or medical emergency, to those who persistently … Subprime lending requires specialized knowledge and skills that many financial institutions may not possess.

ADT, LLC (21-CA-209339)

NLRB Division of Advice Memorandum, Case No. 21-CA-209339 (ADT, LLC) · Federal · Agency guidance

NLRB Division of Advice Memoranda (rolling 10-year window) › ADT, LLC (21-CA-209339)

It defines “Confidential Information” in three categories: proprietary information owned by or otherwise in the Employer’s possession or control, such as “business plans, internal correspondence, [and … security, credit card and bank account numbers, and similarly personally identifiable information”; and HIPAA-related information ories: proprietary information owned by or otherwise in the Employer’s possession

Guidance Regarding Restrictions on Institutions in Troubled Condition

SR 03-6 · Federal · Agency guidance

Federal Reserve SR/CA Letters › Guidance Regarding Restrictions on Institutions in Troubled Condition

The request must detail the proposed payments and demonstrate that the state member bank or bank holding company does not possess and is not aware of any evidence that there is reasonable … payment has committed any fraud, breach of fiduciary duty, insider abuse, or materially violated any applicable banking law or regulation that had or is likely to have a material adverse

Feedback, Complaints, Misconduct, and Discrimination

USCIS Policy Manual, Vol. 1, Pt. A, Ch. 9 · Federal · Agency guidance

Agency Guidance › USCIS Policy Manual › Volume 1 - General Policies and Procedures › Part A - Public Services › USCIS Policy Manual, Vol. 1, Pt. A, Ch. 9

misconduct; - Theft or misuse of funds and theft of government property; - Perjury; - Physical assault; [5] - Unauthorized release of classified or special protected class [6] information; - Drug use or possession … As a matter of procedure, OI does not provide a complainant, victim, witness, or subject of a complaint with the investigative determination of a complaint, since a disclosure of this nature could adversely

Letter concludes that a national bank's ownership of a non-controlling interest in an insurance company that reinsures mortgage life, mortgage accidental death, and mortgage disability insurance on loans originated by the lenders with an ownership interest in the insurance company is permissible. (08/03/98)

OCC Interpretive Letter No. 835 · Federal · Agency guidance

OCC Interpretive Letters › Letter concludes that a national bank's ownership of a non-controlling interest in an insurance company that reinsures mortgage life, mortgage accidental death, and mortgage disability insurance on loans originated by the lenders with an ownership interest in the insurance company is permissible. (08/03/98)

MIMLIC merely assumes the risk that the loan borrowers may experience adverse circumstances that interfere with their ability to repay loans. … Lakeland holds only a 2.9% voting stock interest in MIMLIC and thus, does not possess the power to control the activities of MIMLIC.

Adjudicative Factors

USCIS Policy Manual, Vol. 12, Pt. F, Ch. 2 · Federal · Agency guidance

Agency Guidance › USCIS Policy Manual › Volume 12 - Citizenship and Naturalization › Part F - Good Moral Character › USCIS Policy Manual, Vol. 12, Pt. F, Ch. 2

[23] For cases arising in the Ninth Circuit involving state law convictions for simple possession of a controlled substance, please consult local counsel as the date of the conviction may affect whether … [24] See 8 CFR 316.10(c)(3)(i) and 8 CFR 316.10(c)(3)(ii) . th Circuit involving state law convictions for simple possession of a controlled substance, please consult local counsel as the date of the

Interagency Guidance on Credit Risk Review Systems

SR 20-13 · Federal · Agency guidance

Federal Reserve SR/CA Letters › Interagency Guidance on Credit Risk Review Systems

Page 4 of 8 management or have received an adverse risk rating. • Evaluation of the effectiveness of approved workout plans. … In addition, qualified credit risk review personnel possess knowledge of relevant laws, regulations, and supervisory guidance.

Rating the Adequacy of Risk Management Processes and Internal Controls at State Member Banks and Bank Holding Companies

SR 95-51 (SUP) · Federal · Agency guidance

Federal Reserve SR/CA Letters › Rating the Adequacy of Risk Management Processes and Internal Controls at State Member Banks and Bank Holding Companies

Accordingly, senior management should be fully involved in the activities of their institutions and possess sufficient knowledge of all major business lines to ensure that appropriate policies, controls … Senior management is also responsible for establishing and communicating a strong awareness of and need for effective internal controls and high ethical standards institutions and possess sufficient

GE Appliances, Haier (21-CA-202535)

NLRB Division of Advice Memorandum, Case No. 21-CA-202535 (GE Appliances, Haier) · Federal · Agency guidance

NLRB Division of Advice Memoranda (rolling 10-year window) › GE Appliances, Haier (21-CA-202535)

effect[] on the bargaining process.”12 We conclude that the Union’s request to record investigatory interviews and team meetings implicates the same potential adverse effects on the bargaining … The Union’s possession of such recordings could foreseeably hamper discussions between the Union and the Customer Service Manager aimed at resolving workplace disputes in an informal manner or during

Letter confirms authority of the Bank under 12 USC 24(Seventh) and in accordance with 12 CFR Part 1 to purchase and hold for its own account shares of fixed-rate, cumulative preferred securities. The securities have characteristics typically associated with debt instruments, rather than common stock. Although the securities are perpetual, they are callable at the option of the Issuer. The conclusion in the Letter is subject to the condition that the Bank will not exercise the right granted to holders of the securities to convert them into common stock of the issuer so long as the securities are held by the Bank or any subsidiary.

OCC Interpretive Letter No. 1086 · Federal · Agency guidance

OCC Interpretive Letters › Letter confirms authority of the Bank under 12 USC 24(Seventh) and in accordance with 12 CFR Part 1 to purchase and hold for its own account shares of fixed-rate, cumulative preferred securities. The securities have characteristics typically associated with debt instruments, rather than common stock. Although the securities are perpetual, they are callable at the option of the Issuer. The conclusion in the Letter is subject to the condition that the Bank will not exercise the right granted to holders of the securities to convert them into common stock of the issuer so long as the securities are held by the Bank or any subsidiary.

holder of the Securities are limited, arising only with respect to customary approval rights designed to protect the interests of holders of the Securities against certain corporate actions that would adversely … For example, the OCC found money market preferred stock (“MMPS”) possessed characteristics typically associated with debt obligations, and eligible for purchase under Part 1.6 Similarly, the OCC found