Statutes and regulations

Johns Creek Surgery (10-CA-270348)

NLRB Division of Advice Memorandum, Case No. 10-CA-270348 (Johns Creek Surgery) · Federal · Agency guidance

NLRB Division of Advice Memoranda (rolling 10-year window) › Johns Creek Surgery (10-CA-270348)

that decision, the Board observed that the object of inducing group action need not be expressed but can instead be implied from the subject matter of discussion in Trayco of South Carolina, Inc.,18 … No. 93-360 §1(a), (b), 61 Stat. 137 (codified as amended at 29 U.S.C. § 152(11)). 29 See Dobbs Houses, Inc., 135 NLRB 885, 887–88 (1962) (employees acted for mutual aid or protection when they engaged

Banker Webinar: New Transition Provision to Delay the Impact of CECL on Regulatory Capital for Institutions Required to Adopt CECL in 2020

FDIC FIL-41-2020 · Federal · Agency guidance

FDIC Financial Institution Letters › Banker Webinar: New Transition Provision to Delay the Impact of CECL on Regulatory Capital for Institutions Required to Adopt CECL in 2020

(1). 14 5 U.S.C. 801 et seq. 15 5 U.S.C. 801(a)(3). 16 5 U.S.C. 804(2). 22 The delayed effective date required by the Congressional Review Act does not apply to any rule for which an agency … See 2 U.S.C. 1532(a).

Letter concludes that the National Bank Act permits a national bank to become a clearing member of ICE Trust, a clearinghouse for over-the-counter credit default swaps. The Bank's exposure to the ICE Trust for the defaults of other members is subject to the lending limit in 12 U.S.C. § 84 or any lower limit set by the examiner-in-charge ("EIC"). Before the Bank may become an ICE Trust clearing member, the Bank must establish a comprehensive risk management framework to govern the risks associated with its membership, and receive a written supervisory no-objection from its EIC. Other national banks may rely on the letter to become clearing members of ICE Trust, but must obtain prior written EIC approval.

OCC Interpretive Letter No. 1113 · Federal · Agency guidance

OCC Interpretive Letters › Letter concludes that the National Bank Act permits a national bank to become a clearing member of ICE Trust, a clearinghouse for over-the-counter credit default swaps. The Bank's exposure to the ICE Trust for the defaults of other members is subject to the lending limit in 12 U.S.C. § 84 or any lower limit set by the examiner-in-charge ("EIC"). Before the Bank may become an ICE Trust clearing member, the Bank must establish a comprehensive risk management framework to govern the risks associated with its membership, and receive a written supervisory no-objection from its EIC. Other national banks may rely on the letter to become clearing members of ICE Trust, but must obtain prior written EIC approval.

§ 4421(1). 3 See 12 U.S.C. § 4401 et seq., and ICE Trust Rule (“Rule”) 611. … Rule 20-605(a). 17 Rule 802(d). 18 The “ICE Trust Priority Contribution” is a contribution provided by ICE Trust to the Fund of up to $50 million representing a first loss contribution.

No-Action relief request of BM&F Bovespa S.A. – Bolsa de Valores, Mercadorias e Futuros, in connection with the offer and sale in the United States of its futures contracts based on the Ibovespa Index.

CFTC Letter No. 09-43 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › No-Action relief request of BM&F Bovespa S.A. – Bolsa de Valores, Mercadorias e Futuros, in connection with the offer and sale in the United States of its futures contracts based on the Ibovespa Index.

With regard to the third criterion, an index is a “narrow-based security index” under both the CEA and the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. § 78a et seq., if it has any one … With regard to the third criterion, an index is a “narrow-based security index” under both the CEA and the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C. § 78a et seq., if it has any one

No-action relief related to data reporting requirements under OCR Final Rule.

CFTC Letter No. 16-32 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › No-action relief related to data reporting requirements under OCR Final Rule.

Production Grade data will be used by the Commission only for testing purposes. 34 The Commission will protect proprietary information consistent with the Freedom of Information Act, 5 U.S.C. 552, and … The Commission is also required to protect certain information contained in a government system of records according to the Privacy Act of 1974, 5 U.S.C. 552a. 35 See http://www.cftc.gov/Forms/OCR

Legal Analysis and Use of Discretion

USCIS Policy Manual, Vol. 7, Pt. A, Ch. 10 · Federal · Agency guidance

Agency Guidance › USCIS Policy Manual › Volume 7 - Adjustment of Status › Part A - Adjustment of Status Policies and Procedures › USCIS Policy Manual, Vol. 7, Pt. A, Ch. 10

See 21 U.S.C. 844 (simple possession). See 21 U.S.C. 802(15) (defining manufacture) and 8 U.S.C. 802(22) (defining production). [39] See Matter of Marin (PDF) , 16 I&N Dec. 581, 585 (BIA 1978). … See 21 U.S.C. 844 (simple possession). See 21 U.S.C. 802(15) (defining manufacture) and 8 U.S.C. 802(22) (defining production). [39] See Matter of Marin (PDF) , 16 I&N Dec. 581, 585 (BIA 1978).

Electronic Recording of Statements

Justice Manual § 9-13.001 · Federal · Agency guidance

Agency Guidance › DOJ Justice Manual › Title 9: Criminal › 9-13.000 - Obtaining Evidence › Justice Manual § 9-13.001

See 18 U.S.C. §2511(2)(c). 

Summary of 2006 Legislation

WV Informational Letter No. 156 · West Virginia · Agency guidance

West Virginia Offices of the Insurance Commissioner Bulletins and Informational Letters › Summary of 2006 Legislation

U.S.C application for reinstatement is made within one year of leaving the state job; (2) current law (W.Va. … Code §33-17-9 ces and $300,000 for commercial property; these limits have remained unchanged for 18 years.

Facts and Documentary Evidence

MPEP § 715.07 · Federal · Agency guidance

Agency Guidance › USPTO MPEP › Chapter 0700 - Examination of Applications › MPEP § 715.07

See 35 U.S.C. 100 (note) and MPEP § 2159 . … In re Steed , 802 F.3d 1311, 1317-18, 116 USPQ2d 1760 (Fed. Cir. 2015)(citing to In re NTP, Inc. , 654 F.3d 1279, 1291, 99 USPQ2d 1481, 1488 (Fed. Cir. 2011)).

No-action position for swap dealers and major swap participants relating to the requirement to disclose a pre-trade mid-market mark to the swap counterparty under Commission Regulation 23.431(a)(3)(i).

CFTC Letter No. 25-09 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › No-action position for swap dealers and major swap participants relating to the requirement to disclose a pre-trade mid-market mark to the swap counterparty under Commission Regulation 23.431(a)(3)(i).

Letter 12-58, stating that it would not recommend enforcement action against a Swap Entity for failure to disclose a PTMMM for certain widely-traded interest rate swap or index credit default swaps,18 … Id. at 5, n. 16. 16 Id. at 6. 17 Id. at 6–⁠7. 18 Specifically, CFTC Staff Letter 12-58 (Dec. 18, 2012) covered: (1) untranched credit default swaps referencing the on-the-run and most recent off-the

Final Rule Adjusting and Indexing Certain Regulatory Thresholds

FDIC FIL-54-2025 · Federal · Agency guidance

FDIC Financial Institution Letters › Final Rule Adjusting and Indexing Certain Regulatory Thresholds

Appendix B to Part 363 [Amended] ■18. … Appendix B to Part 363 [Amended] ■18.

FDIC Proposes Changes to Its Supervisory Appeals Process

FDIC FIL-79-2020 · Federal · Agency guidance

FDIC Financial Institution Letters › FDIC Proposes Changes to Its Supervisory Appeals Process

54377 Federal Register / Vol. 85, No. 170 / Tuesday, September 1, 2020 / Notices 1 12 U.S.C. 4806(a). 2 12 U.S.C. 4806(f)(2). 3 12 U.S.C. 4806(b). 4 12 U.S.C. 4806(f)(1)(A). 5 12 U.S.C. 4806(f)(1 … )(B). 6 12 U.S.C. 4806(g). 7 60 FR 15923 (Mar. 28, 1995). 8 60 FR 15923, 15930.

Letter confirms that the bank may directly acquire a noncontrolling, minority interest in a Delaware corporation and thereby acquire indirectly, a noncontrolling minority interest in the corporation's sole subsidiary engaged in providing stored value systems. 03/01/99

OCC Interpretive Letter No. 855 · Federal · Agency guidance

OCC Interpretive Letters › Letter confirms that the bank may directly acquire a noncontrolling, minority interest in a Delaware corporation and thereby acquire indirectly, a noncontrolling minority interest in the corporation's sole subsidiary engaged in providing stored value systems. 03/01/99

National banks are permitted to make various types of 4 equity investments pursuant to 12 U.S.C. § 24(Seventh) and other statutes. … See generally Accounting Principles Board, Op.18 § 19 (1971) (equity method of 12 accounting for investments in common stock). b.

Bank may purchase a minority interest in a limited liability company to be formed with an unaffiliated corporation to engage in the development, distribution and maintenance of computer software for cash management applications. (11/05/96)

OCC Interpretive Letter No. 756 · Federal · Agency guidance

OCC Interpretive Letters › Bank may purchase a minority interest in a limited liability company to be formed with an unaffiliated corporation to engage in the development, distribution and maintenance of computer software for cash management applications. (11/05/96)

Rep agement software development, distribution and maintenance -- are legally permissible under 12 U.S.C. § 24 (Seventh) as part of the business of banking. … See generally, Accounting Principles Board, Op. 18 § 19 (1971) (equity method of accounting for investments in common stock). Interpretive Letter 692, supra.

The Division of Swap Dealer and Intermediary Oversight (DSIO) granted no-action relief from commodity pool operator (CPO) registration to two entities operating collective investment vehicles to manage the assets belo...

CFTC Letter No. 17-19 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › The Division of Swap Dealer and Intermediary Oversight (DSIO) granted no-action relief from commodity pool operator (CPO) registration to two entities operating collective investment vehicles to manage the assets belo...

As with the “X” Fund, the definition of “Affiliate”18 includes entities deemed to be supporting organizations, pursuant to IRC Section 509(a)(3).19 Participation in the “Y” Fund is voluntary and decided … University “A” 15 26 U.S.C. 509(a)(3). 16 Id. at 4 and Annex VI. 17 Correspondence, p. 6. 18 See note 5 above.

Anti-Money Laundering Program and Suspicious Activity Reporting Requirements For Insurance Companies Frequently Asked Questions

FinCEN Guidance, Anti-Money Laundering Program and Suspicious Activity Reporting Requirements For Insurance Companies Frequently Asked Questions, 2005-10-31 · Federal · Agency guidance

FinCEN Guidance (alerts, advisories, notices, bulletins, fact sheets) › Anti-Money Laundering Program and Suspicious Activity Reporting Requirements For Insurance Companies Frequently Asked Questions

You also should immediately notify the Office of Chief Counsel at the Financial Crimes Enforcement Network (703-905-3590). 18. … Yes You also should immediately notify the Office of Chief Counsel at the Financial Crimes Enforcement Network (703-905-3590). 18.

UNITE HERE Local 26 (Battery Wharf) (01-CB-219943)

NLRB Division of Advice Memorandum, Case No. 01-CB-219943 (UNITE HERE Local 26 (Battery Wharf)) · Federal · Agency guidance

NLRB Division of Advice Memoranda (rolling 10-year window) › UNITE HERE Local 26 (Battery Wharf) (01-CB-219943)

On June 22, the Union sent an email stating that it could meet on July 11 and 18 at 5:00 p.m. … App’x. 100 (3d Cir. 2007). 18 Cf.

Administrative Naturalization Ceremonies

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

Agency Guidance › USCIS Policy Manual › Volume 12 - Citizenship and Naturalization › Part J - Oath of Allegiance › USCIS Policy Manual, Vol. 12, Pt. J, Ch. 5

See 52 U.S.C. 20501(a) . [20] See 52 U.S.C. 20507(a)(5) . … [23] See 52 U.S.C. 20506 .

Letter concludes that a national trust company may sponsor a closed-end investment fund that will be exempt from registration under the Investment Company Act of 1940. Letter also concludes that because the fund's underlying portfolio consists of bank eligible investments, the particular types of national banks proposed may purchase the described fund shares pursuant to 12 CFR 1.3(h)(2), subject to specific safe and sound banking practices and a 1% aggregate investment limitation.

OCC Interpretive Letter No. 1047 · Federal · Agency guidance

OCC Interpretive Letters › Letter concludes that a national trust company may sponsor a closed-end investment fund that will be exempt from registration under the Investment Company Act of 1940. Letter also concludes that because the fund's underlying portfolio consists of bank eligible investments, the particular types of national banks proposed may purchase the described fund shares pursuant to 12 CFR 1.3(h)(2), subject to specific safe and sound banking practices and a 1% aggregate investment limitation.

See 15 U.S.C. § 78c note. offsetting cash flows or returns. … See 15 U.S.C. § 78c note.

Letter states that a national bank may purchase options on futures contracts on commodities to hedge the credit risk in its agricultural loan portfolio.

OCC Interpretive Letter No. 896 · Federal · Agency guidance

OCC Interpretive Letters › Letter states that a national bank may purchase options on futures contracts on commodities to hedge the credit risk in its agricultural loan portfolio.

(March 18, 1980), then amended by OCC Banking Circular 79(3rd Rev.)(April 19, 1983). … (March 18, 1980), then amended by OCC Banking Circular 79(3rd Rev.)(April 19, 1983).