Statutes and regulations

Supervisory Guidance on Equity Investment and Merchant Banking Activities

SR 00-9 (SPE) · Federal · Agency guidance

Federal Reserve SR/CA Letters › Supervisory Guidance on Equity Investment and Merchant Banking Activities

Non-financial companies include companies that engage in activities other than financial activities that a financial holding company may conduct pursuant to section 4 of the Bank Holding Company Act, 12 U.S.C … Consistent with SR Letter 99-18 (July 1, 1999), banking organizations conducting material equity investment activities are expected to have an internal capital allocation system that meaningfully links

Letter concludes that a national bank may engage in customer-driven coal derivative transactions that settle in cash or by transitory title transfer and that are hedged on a portfolio basis with derivative and spot transactions that settle in cash or by transitory title transfer, provided the bank's examiner-in-charge is satisfied that the bank has adequate risk management and measurement systems and controls to conduct the activities on a safe and sound basis.

OCC Interpretive Letter No. 1060 · Federal · Agency guidance

OCC Interpretive Letters › Letter concludes that a national bank may engage in customer-driven coal derivative transactions that settle in cash or by transitory title transfer and that are hedged on a portfolio basis with derivative and spot transactions that settle in cash or by transitory title transfer, provided the bank's examiner-in-charge is satisfied that the bank has adequate risk management and measurement systems and controls to conduct the activities on a safe and sound basis.

The OCC has previously determined that the Bank may engage in perfectly matched cash-settled coal derivatives as a financial intermediary under 12 U.S.C. § 24(Seventh).14 The Bank now proposes to portfolio-hedge … addressed in ways comparable to those applicable to, the Bank's existing commodity derivative products and business. 17 OCC Handbook: Risk Management of Financial Derivatives (January 1997). 18

Form and Rate Filings Submissions to be Effective for Calendar Year 2018

PR Carta Normativa Núm. CN-2017-218-AS · Puerto Rico · Agency guidance

Puerto Rico OCS Cartas Normativas y Cartas Circulares › Form and Rate Filings Submissions to be Effective for Calendar Year 2018

Blood Pressure Screening for high blood pressure in adults age (18) years and older. … Blood Pressure Screening for high blood pressure in adults age (18) years and older.

Notice of Proposed Rulemaking on Simplification of Deposit Insurance Rules for Trust and Mortgage Servicing Accounts

FDIC FIL-51-2021 · Federal · Agency guidance

FDIC Financial Institution Letters › Notice of Proposed Rulemaking on Simplification of Deposit Insurance Rules for Trust and Mortgage Servicing Accounts

The authority citation for part 430 continues to read as follows: Authority: 42 U.S.C. 6291–6309; 28 U.S.C. 2461 note. ■2. Appendix I to subpart B of part 430 is amended by: ■a. … ). 6 12 U.S.C. 1821(a)(2). 7 See 12 U.S.C. 1817(i), 1821(a). 8 See 12 CFR 330.10, 330.13. 9 See 1934 FDIC Annual Report at 143. 10 See Banking Act of 1935, Public Law 74–305 (Aug. 23, 1935), section

Revised Standards for the Use of Credit Information in Insurance Rating and Underwriting

AK Insurance Bulletin B18-08 · Alaska · Agency guidance

Alaska Division of Insurance Bulletins › Revised Standards for the Use of Credit Information in Insurance Rating and Underwriting

Box 110805 Juneau, AK 99811-0805 Main: 907.465.2515 Fax: 907.465.3422 BULLETIN B 18-08 TO: ALL INSURERS AND PRODUCERS WRITING PERSONAL LINES POLICIES IN THE STATE OF ALASKA AND OTHER INTERESTED … If the 12 month requirement is met, the consumer has the right to seek resolution of the dispute either under AS 21.36.460(f) or under the process under 15 U.S.C. 1681 - 1681 et seq.

Application of FinCEN’s Regulations to Certain Business Models Involving Convertible Virtual Currencies

FinCEN Guidance FIN-2019-G001 · Federal · Agency guidance

FinCEN Guidance (alerts, advisories, notices, bulletins, fact sheets) › Application of FinCEN’s Regulations to Certain Business Models Involving Convertible Virtual Currencies

18. 2011 MSB Final Rule, 76 FR, at 43592. … provide training for appropriate personnel, including training in the detection of suspicious transactions; and, (d) provide for independent review to monitor and maintain an adequate program.25 25. 31 U.S.C

No-Action  CFTC staff issues time limited no-action relief to Shorcan Energy Brokers Inc. and its associated persons for introducing broker and associated person registration.

CFTC Letter No. 18-02 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › No-Action  CFTC staff issues time limited no-action relief to Shorcan Energy Brokers Inc. and its associated persons for introducing broker and associated person registration.

Kulkin Director CFTC Letter No. 18-02 No-Action February 15, 2018 Division of Swap Dealer and Intermediary Oversight Re: Time Limited No Action Position on Introducing Broker and Associ- ated Person … For AP registration requirements, see CEA Section 4k and Commission regula- tions 3.4(a) and 3.12(a). 7 U.S.C. 6k and 17 CFR 3.4(a) and 3.12(a). 5 A list of the Transitioning Contracts is in Annex A

Policy Statement on Carbon Pricing in Organized Wholesale Markets News Release

175 FERC ¶ 61,036 · Federal · Agency guidance

FERC Policy Statements › Policy Statement on Carbon Pricing in Organized Wholesale Markets News Release

AD20-14-000 - 18 - e. Would the filer’s proposal result in economic or environmental leakage?50 If so, how might the proposal address any such leakage? f. … Commission “ha[s] jurisdiction to entertain section 205 filings that seek to accommodate state carbon-pricing policies” meant no more and no less than that.5 The Commission has the duty “to 1 16 U.S.C

Potential Money Laundering Risks Related to Shell Companies

FinCEN Guidance FIN-2006-G014 · Federal · Agency guidance

FinCEN Guidance (alerts, advisories, notices, bulletins, fact sheets) › Potential Money Laundering Risks Related to Shell Companies

Washington 10192 2.25% 10 Michigan 9824 2.2% 11 Connecticut 9810 2.2% 12 Minnesota 9804 2.2% 13 North Carolina 9071 2% 14 Ohio 9048 2% 15 Nevada 8356 1.85% 16 Delaware 8081 1.8% 17 Georgia 8065 1.8% 18 … Disclosure of SARs and Underlying Suspicious Activity Federal law (31 U.S.C. 5318(g)(2)) prohibits the notification of any person that is involved in the activity being reported on a SAR that the activity

Radicaciones de Formularios y Tarifas Para el Año Natural de 2015

PR Carta Normativa Núm. CN-2014-175-AS · Puerto Rico · Agency guidance

Puerto Rico OCS Cartas Normativas y Cartas Circulares › Radicaciones de Formularios y Tarifas Para el Año Natural de 2015

§2719 of the PHSA/ §1001 of the PPACA 45 CFR §147.136 Appeals Process – Requires establishment of an internal claims appeal process and external review process. … Act No. 161 of November 1, 2010 Act No. 140 of September 22, 2010 Puerto Rico Laws Act No. 275 September 27, 2012 18 of 26 OCI Rev.

Radicaciones de Formularios y Tarifas para el Año Natural 2016

PR Carta Normativa Núm. CN-2015-187-AS · Puerto Rico · Agency guidance

Puerto Rico OCS Cartas Normativas y Cartas Circulares › Radicaciones de Formularios y Tarifas para el Año Natural 2016

§2719 of the PHSA/ §1001 of the PPACA 45 CFR §147.136 Appeals Process – Requires establishment of an internal claims appeal process and external review process. … Act No. 161 of November 1, 2010 Act No. 140 of September 22, 2010 Puerto Rico Laws Act No. 275 September 27, 2012 18 of 26 OCI Rev.

Revised: New SBA and Treasury Programs Available for Small Business Relief

FDIC FIL-33-2020 · Federal · Agency guidance

FDIC Financial Institution Letters › Revised: New SBA and Treasury Programs Available for Small Business Relief

made not more than seven years before the date of the transaction, and (2) there were no flood map revisions or updates affecting the security property since the original determination was made (42 U.S.C … on the pre-exiting determination to accommodate borrowers. saction, and (2) there were no flood map revisions or updates affecting the security property since the original determination was made (42 U.S.C

Banker Webinar: How to Become a Paycheck Protection Program (PPP) Lender

FDIC FIL-49-2020 · Federal · Agency guidance

FDIC Financial Institution Letters › Banker Webinar: How to Become a Paycheck Protection Program (PPP) Lender

made not more than seven years before the date of the transaction, and (2) there were no flood map revisions or updates affecting the security property since the original determination was made (42 U.S.C … on the pre-exiting determination to accommodate borrowers. saction, and (2) there were no flood map revisions or updates affecting the security property since the original determination was made (42 U.S.C

Comment Solicitation on Draft Proposed Regulations 31.05.08 - Credit for Reinsurance

MD Insurance Bulletin 14-04 · Maryland · Agency guidance

Maryland Insurance Administration Bulletins › Comment Solicitation on Draft Proposed Regulations 31.05.08 - Credit for Reinsurance

assets of the ceding insurer; and (b) In trust for the uses specified in §§B and C of this regulation as may remain executory after the withdrawal and for any period after the termination date. .18 … In addition to the requirements of Regulations .14-.18 of this chapter, reinsurance contracts entered into or renewed under Regulations .25 - .27 of this chapter shall include a funding clause, which

Interagency Guidance to Issuing Banks on Applying Customer Identification Program Requirements to Holders of Prepaid Access Cards

SR 16-7 · Federal · Agency guidance

Federal Reserve SR/CA Letters › Interagency Guidance to Issuing Banks on Applying Customer Identification Program Requirements to Holders of Prepaid Access Cards

In addition, SR letter 05-9, “Frequently Asked Questions Relating to Customer Identification Program Rules,” provides interagency guidance on common questions regarding the CIP Rule. 2 31 U.S.C. 5318 … account is deemed a customer.17 To verify the identity of the person opening the account, the final CIP rule’s preamble explains that a bank need only verify the identity of the named accountholder.18

AZ Regulatory Bulletin 2003-08: 2003 Arizona Insurance Laws

AZ Regulatory Bulletin 2003-08 · Arizona · Agency guidance

Arizona Department of Insurance and Financial Institutions Bulletins › AZ Regulatory Bulletin 2003-08: 2003 Arizona Insurance Laws

Except as otherwise noted below, all insurance related legislation has a general effective date of September 18, 2003. … corporation licensed under A.R.S. § 20-821 et seq. ƒ Insurance provided by a health care services organization licensed under A.R.S. § 20-1051 et seq. or a prepaid dental plan licensed under A.R.S. § 20-1001

Insurance Legislation Adopted by the 2012 Kentucky General Assembly (Regular Session)

KY Insurance Bulletin 2012-02 · Kentucky · Agency guidance

Kentucky Department of Insurance Bulletins and Advisory Opinions › Insurance Legislation Adopted by the 2012 Kentucky General Assembly (Regular Session)

maintain, and update annually a register of each travel retailer that offers travel insurance on its behalf;  Submit the register to the commissioner upon request;  Certify that it complies with 18 … U.S.C. sec. 1033;  Designate one of its employees as a licensed individual responsible for compliance with the travel insurance laws and regulations in Kentucky; and  Require each employee of the

Banker Webinar: Loan Forgiveness and Other Matters Relative to the Paycheck Protection Program – Rescheduled

FDIC FIL-87-2020 · Federal · Agency guidance

FDIC Financial Institution Letters › Banker Webinar: Loan Forgiveness and Other Matters Relative to the Paycheck Protection Program – Rescheduled

made not more than seven years before the date of the transaction, and (2) there were no flood map revisions or updates affecting the security property since the original determination was made (42 U.S.C … on the pre-exiting determination to accommodate borrowers. saction, and (2) there were no flood map revisions or updates affecting the security property since the original determination was made (42 U.S.C

Flood Insurance: Revised Interagency Questions and Answers

FDIC FIL-20-2022 · Federal · Agency guidance

FDIC Financial Institution Letters › Flood Insurance: Revised Interagency Questions and Answers

See 42 U.S.C. 4106(a). … 147 12 U.S.C. 4012a(e)(1).

DFW Security Protective Force (14-CA-180205)

NLRB Division of Advice Memorandum, Case No. 14-CA-180205 (DFW Security Protective Force) · Federal · Agency guidance

NLRB Division of Advice Memoranda (rolling 10-year window) › DFW Security Protective Force (14-CA-180205)

, the reclassified guards would receive lower pay.7 After taking a break, the Union and the Employer ended negotiations for the day without making any progress. 6 The Service Contract Act, 47 U.S.C … Accordingly, the Employer violated 8(a)(5) by unilaterally reclassifying them.20 18 See Nexeo Solutions, LLC, 364 NLRB No. 44, slip op. at 12 (“perfectly clear” successors required to bargain with