Statutes and regulations

Corporate Codes Of Conduct Guidance on Implementing an Effective Ethics Program

FDIC FIL-105-2005 · Federal · Agency guidance

FDIC Financial Institution Letters › Corporate Codes Of Conduct Guidance on Implementing an Effective Ethics Program

U.S.C. 215” FDIC Statement of Policy – “Statement Concerning the Responsibilities of Bank Directors and Officers” FIL-46-2005, dated June 1, 2005: “Guidance on Developing an Effective Pre-employment … U.S.C. 215(c)) from anyone in connection with the business of the bank, either before or after a transaction is discussed or consummated.

Inactive Supervisory Guidance

SR 22-10 / CA 22-10 · Federal · Agency guidance

Federal Reserve SR/CA Letters › Inactive Supervisory Guidance

Issuance Date Subject/Title Reason SR 18-5 / CA 18-7 9/12/2018 Interagency Statement Clarifying the Role of Supervisory Guidance Superseded by the “Statement Clarifying the Role of Supervisory … SR 16-18 12/9/2016 Procedures for a Banking Entity to Request an Extended Transition Period for Illiquid Funds Outdated guidance.

Approval of a direct, minority investment in a limited liability company to perform servicing of credit card accounts (merchant processing). 12/11/98

OCC Interpretive Letter No. 852 · Federal · Agency guidance

OCC Interpretive Letters › Approval of a direct, minority investment in a limited liability company to perform servicing of credit card accounts (merchant processing). 12/11/98

Tit. 6, § 18-303 (Michie Cum. Supp. 1996). Thus, the Bank’s loss exposure for the liabilities of [ CS ] will be limited by statute 6 and by the agreement establishing [ CS ]. … Tit. 6, § 18-303 (Michie Cum. Supp. 1996). Thus, the Bank’s loss exposure for the liabilities of [ CS ] will be limited by statute 6 and by the agreement establishing [ CS ]. b.

Agencies Issue Interagency Statement on Elder Financial Exploitation (Revised June 2026)

FDIC FIL-83-2024 · Federal · Agency guidance

FDIC Financial Institution Letters › Agencies Issue Interagency Statement on Elder Financial Exploitation (Revised June 2026)

See, e.g., 31 U.S.C. 5318(g)(2); 31 CFR 1020.320(e). 19. … (citing 31 U.S.C. § 5318(g)(3)). 21.

Letter confirms that the bank may purchase and hold the preferred securities of two special purpose entities that hold interests in Australian mortgage assets.

OCC Interpretive Letter No. 1027 · Federal · Agency guidance

OCC Interpretive Letters › Letter confirms that the bank may purchase and hold the preferred securities of two special purpose entities that hold interests in Australian mortgage assets.

rights, provided by the [ AB ] Preferred. 8 See, e.g., OCC Interpretive Letter No. 579 (March 24, 1992); OCC Interpretive Letter No. 25 (February 14, 1978); OCC Interpretive Letter No. 41 (May 18 … rights, provided by the [ AB ] Preferred. 8 See, e.g., OCC Interpretive Letter No. 579 (March 24, 1992); OCC Interpretive Letter No. 25 (February 14, 1978); OCC Interpretive Letter No. 41 (May 18

Purpose and Background

USCIS Policy Manual, Vol. 12, Pt. I, Ch. 1 · Federal · Agency guidance

Agency Guidance › USCIS Policy Manual › Volume 12 - Citizenship and Naturalization › Part I - Military Members and their Families › USCIS Policy Manual, Vol. 12, Pt. I, Ch. 1

[3] See 8 U.S.C. 1443a . [4] See INA 328 and INA 329 . See 8 CFR 328 and 8 CFR 329 . 1] See INA 328(a) and INA 329(a) . … [18] See Chapter 6, Required Background Checks [ 12 USCIS-PM I.6 ]. See the Kendell Frederick Citizenship Assistance Act of 2008, Pub. L. 110-251 (PDF) , 122 Stat. 2319.

Letter sets forth the OCC's opinion that Bank is authorized under federal law to be appointed, and accept any appointment, to act in a fiduciary capacity permitted to state fiduciaries in North Carolina without obtaining any express qualification or otherwise qualifying under North Carolina law.

OCC Interpretive Letter No. 1103 · Federal · Agency guidance

OCC Interpretive Letters › Letter sets forth the OCC's opinion that Bank is authorized under federal law to be appointed, and accept any appointment, to act in a fiduciary capacity permitted to state fiduciaries in North Carolina without obtaining any express qualification or otherwise qualifying under North Carolina law.

O Comptroller of the Currency Administrator of National Banks Washington, DC 20219 September 18, 2008 Interpretive Letter #1103 … Accordingly, the publication requirements of 12 U.S.C. §§ 43(a) and (b) are not applicable. See 12 U.S.C. § 43(c)(1)(A).

Extension of time limited no-action position for swap dealers complying with European Union uncleared swap margin requirements.

CFTC Letter No. 17-22 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › Extension of time limited no-action position for swap dealers complying with European Union uncleared swap margin requirements.

See 7 U.S.C. 6s(e)(1)(B). … . § 1 et. seq. 6 See 7 U.S.C. 6s(e)(1)(B).

Aesthetic Functionality

TMEP § 1202.02(a)(vi) · Federal · Agency guidance

Agency Guidance › USPTO TMEP › Chapter 1200 - Substantive Examination of Applications › TMEP § 1202.02(a)(vi)

Displays, Inc. , 532 U.S. 23, 33, 58 USPQ2d 1001, 1006 (2001). … The proper refusal is that the matter is ornamental and, thus, does not function as a mark under §§1, 2, and 45 of the Trademark Act, 15 U.S.C. §§1051 , 1052 , and 1127 .

No-action postion with respect to Part 43 and 45 reporting, as well as related sections of Parts 38 and 39, for binary options executed on or pursuant to the rules of MIAXdx and cleared through MIAXdx.

CFTC Letter No. 24-12 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › No-action postion with respect to Part 43 and 45 reporting, as well as related sections of Parts 38 and 39, for binary options executed on or pursuant to the rules of MIAXdx and cleared through MIAXdx.

.; see also 7 U.S.C. § 1(a)(47)(A)(i)-(ii). 9 7 U.S.C. § 6c(b). 10 Commodity Options, 77 Fed. … Request at 2 n.4. 7 Id. at 2. 8 Id.; see also 7 U.S.C. § 1(a)(47)(A)(i)-(ii). 9 7 U.S.C. § 6c(b). 10 Commodity Options, 77 Fed.

General Approval, Consultation, and Notification Requirements

Justice Manual § 9-119.010 · Federal · Agency guidance

Agency Guidance › DOJ Justice Manual › Title 9: Criminal › 9-119.000 - Asset Forfeiture Approval, Consultation, And Notification Requirements › Justice Manual § 9-119.010

Forfeiture Policy Manual Chaps. 1 and 11 Correspondent Accounts MNF must give approval before serving a restraining order, seizure warrant, or warrant of arrest on a correspondent bank account under 18 … U.S.C. § 981(k) (chief of MNF will get concurrence from director of OIA) Memorandum from AAG Chertoff USA Patriot Act, Section 319, codified at 18 U.S.C. § 981(k) Correspondent Accounts OIA must give

Proposed Revisions to Statement of Policy Regarding Minority Depository Institutions

FDIC FIL-80-2020 · Federal · Agency guidance

FDIC Financial Institution Letters › Proposed Revisions to Statement of Policy Regarding Minority Depository Institutions

The authority citation for part 390 is revised to read as follows: Authority: 12 U.S.C. 1819. Subpart F also issued under 5 U.S.C. 552; 559; 12 U.S.C. 2901 et seq. … Subpart O also issued under 12 U.S.C. 1828. Subpart Q also issued under 12 U.S.C. 1462; 1462a; 1463; 1464.

Extension of time-limited no-action relief for ASX Clear (Futures) Pty Limited with regard to Section 5b(a) of the Commodity Exchange Act and implementing regulations thereunder.

CFTC Letter No. 14-148 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › Extension of time-limited no-action relief for ASX Clear (Futures) Pty Limited with regard to Section 5b(a) of the Commodity Exchange Act and implementing regulations thereunder.

1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 418-5000 Facsimile: (202) 418-5521 www.cftc.gov Division of Clearing and Risk CFTC Letter No. 14-148 No-Action December 18 … See Statement of the Commission concerning CME Rule 1001 (March 6, 2013), page 6, available at: http://www.cftc.gov/ucm/groups/public/@newsroom/documents/file/statementofthecommission.pdf; see also 17

Regulatory Capital Rule: Eligible Retained Income

FDIC FIL-21-2020 · Federal · Agency guidance

FDIC Financial Institution Letters › Regulatory Capital Rule: Eligible Retained Income

. 553(b)(B); 553(d)(3). 15 5 U.S.C. 553(d). 16 5 U.S.C. 553(d)(1). 17 5 U.S.C. 801 et seq. 18 5 U.S.C. 801(a)(3). … The 24 12 U.S.C. 4802(a). 25 12 U.S.C. 4802. 26 12 U.S.C. 4809.

Letter concludes that under described facts, ATM sharing space with a LPO and courier service is not a branch. (09/29/98)

OCC Interpretive Letter No. 843 · Federal · Agency guidance

OCC Interpretive Letters › Letter concludes that under described facts, ATM sharing space with a LPO and courier service is not a branch. (09/29/98)

to be delivered to the addressee until they are actually delivered to the addressee by the courier service and that the courier service is the agent of the customer. 12 C.F.R. § 7.1012(c)(2)(ii)(A). 18 … As discussed above, the courier service makes its services available to the public including other depository institutions, retains ultimate discretion to determine which customers and which 18 geographical

Spouses of U.S. Citizens Employed Abroad

USCIS Policy Manual, Vol. 12, Pt. G, Ch. 4 · Federal · Agency guidance

Agency Guidance › USCIS Policy Manual › Volume 12 - Citizenship and Naturalization › Part G - Spouses of U.S. Citizens › USCIS Policy Manual, Vol. 12, Pt. G, Ch. 4

See 8 U.S.C. 1443a . [9] See INA 319(b) . See 8 CFR 319.1(b)(1) . See Chapter 2, Marriage and Marital Union for Naturalization [ 12 USCIS-PM G.2 ]. … [18] See 8 CFR 319.2(a)(4) . [19] See INA 319(b)(3) . See 8 CFR 319.2(a)(6) .

Interagency Statement on Elder Financial Exploitation

FinCEN Guidance, Interagency Statement on Elder Financial Exploitation, 2024-12-04 · Federal · Agency guidance

FinCEN Guidance (alerts, advisories, notices, bulletins, fact sheets) › Interagency Statement on Elder Financial Exploitation

See, e.g., 31 U.S.C. 5318(g)(2); 31 CFR 1020.320(e). 19. … (citing 31 U.S.C. § 5318(g)(3)). 21.

Letter permits bank, as part of an overall enterprise with an unrelated company, to make a minority investment in the company by receiving, retaining, and -- at some future date -- exercising warrants to acquire stock in the company. 08/16/99

OCC Interpretive Letter No. 868 · Federal · Agency guidance

OCC Interpretive Letters › Letter permits bank, as part of an overall enterprise with an unrelated company, to make a minority investment in the company by receiving, retaining, and -- at some future date -- exercising warrants to acquire stock in the company. 08/16/99

See generally Accounting Principles Board, Op. 18 § 19 (1971) (equity method of accounting for investments in common stock). … This examination authority will be in addition to the authority over the Company vested in the OCC by the 18 Bank Service Company Act. 12 U.S.C. § 1867(c). Tours, Inc. v.

Letter states that the Bank, with the approval of its examiner-in-charge, may engage in customer-driven, physically settled emissions derivative transactions and may enter into physical transactions in emission allowances to hedge its risk exposures to the emissions derivative transactions.

OCC Interpretive Letter No. 1040 · Federal · Agency guidance

OCC Interpretive Letters › Letter states that the Bank, with the approval of its examiner-in-charge, may engage in customer-driven, physically settled emissions derivative transactions and may enter into physical transactions in emission allowances to hedge its risk exposures to the emissions derivative transactions.

Thus, they are permissible activities for national banks under 12 U.S.C. § 24(Seventh). … Thus, they are permissible activities for national banks under 12 U.S.C. § 24(Seventh).

Purpose and Background

USCIS Policy Manual, Vol. 8, Pt. G, Ch. 1 · Federal · Agency guidance

Agency Guidance › USCIS Policy Manual › Volume 8 - Admissibility › Part G - Public Charge Ground of Inadmissibility › USCIS Policy Manual, Vol. 8, Pt. G, Ch. 1

L. 104-193 (PDF) , (August 22, 1996) (codified at 8 U.S.C. 1601 (PDF) ). [9] See 8 U.S.C. 1601-1646 , as amended. [10] See Division C of Pub. L. 104-208 (PDF) , 110 Stat. 3009 (September 30, 1996). … L. 104-193 (PDF) , (August 22, 1996) (codified at 8 U.S.C. 1601 (PDF) ). [9] See 8 U.S.C. 1601-1646 , as amended. [10] See Division C of Pub. L. 104-208 (PDF) , 110 Stat. 3009 (September 30, 1996).