Statutes and regulations

Time-limited no-action relief for Korea Exchange, Inc. with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder.

CFTC Letter No. 14-87 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › Time-limited no-action relief for Korea Exchange, Inc. with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder.

See Section 1a(47)(A) of the CEA, 7 U.S.C. § 1a(47)(A) (“[T]he term ‘swap’ means any agreement, contract, or transaction – . . . … See Statement of the Commission concerning CME Rule 1001 (Mar. 6, 2013) at 6, available at: http://www.cftc.gov/ucm/groups/public/@newsroom/documents/file/statementofthecommission.pdf; see also Regulation

Extension of time-limited no-action relief for OTC Clearing Hong Kong Limited with regard to Section 5b(a) of the Commodity Exchange Act and implementing regulations thereunder.

CFTC Letter No. 14-151 · Federal · Agency guidance

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

Centre 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. 14-151 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

National bank may acquire direct non-controlling investment in commercial finance company LLC engaged in the business of making secured and unsecured loans to owners, operators and third-party landlords of franchised, licensed or branded retail businesses. LLC may also engage, either directly or through subsidiaries not yet established, in assisting customers in private placements of debt and equity on an agency basis. 10/14/99

OCC Interpretive Letter No. 871 · Federal · Agency guidance

OCC Interpretive Letters › National bank may acquire direct non-controlling investment in commercial finance company LLC engaged in the business of making secured and unsecured loans to owners, operators and third-party landlords of franchised, licensed or branded retail businesses. LLC may also engage, either directly or through subsidiaries not yet established, in assisting customers in private placements of debt and equity on an agency basis. 10/14/99

(a) Lending Lending is clearly an authorized activity under 12 U.S.C. § 24 (Seventh). … See generally, Accounting Principles Board, Op. 18 § 19 (1971) (equity method of accounting for 7 investments in common stock). Interpretive Letter No. 692, supra.

National bank may exchange its interest in a DPC real estate, acquired through foreclosure on a loan in which the bank was a participant, for an equivalent interest in an LLC owned by the participating banks which would manage and dispose of the DPC property. Prior to making the exchange, the bank must receive written notice of supervisory non-objection from its Examiner-in-Charge.

OCC Interpretive Letter No. 1123 · Federal · Agency guidance

OCC Interpretive Letters › National bank may exchange its interest in a DPC real estate, acquired through foreclosure on a loan in which the bank was a participant, for an equivalent interest in an LLC owned by the participating banks which would manage and dispose of the DPC property. Prior to making the exchange, the bank must receive written notice of supervisory non-objection from its Examiner-in-Charge.

O Comptroller of the Currency Administrator of National Banks Washington, DC 20219 September 18, 2009 Interpretive Letter … (5) Consistent with the limitations in 12 U.S.C. § 29 and 12 C.F.R.

Letter approves national bank acquisition of non-controlling interest in limited liability company which will enter into contracts with federal, state, and local governments and agencies to provide a package of Internet-based services, including (1) developing Websites that facilitate electronic procurement transactions, (2) hosting these Websites, and (3) providing related merchant processing services.

OCC Interpretive Letter No. 883 · Federal · Agency guidance

OCC Interpretive Letters › Letter approves national bank acquisition of non-controlling interest in limited liability company which will enter into contracts with federal, state, and local governments and agencies to provide a package of Internet-based services, including (1) developing Websites that facilitate electronic procurement transactions, (2) hosting these Websites, and (3) providing related merchant processing services.

Tit. 6 ' 18-303 (1993). Thus, the Bank's loss exposure for the liabilities of the LLC will be limited by statute. b. … See generally Accounting Principles Board, Op. 18 § 19 (1971) (equity method of accounting for investments in common stock).

Revised Guidelines for Appeals of Material Supervisory Determinations

FDIC FIL-4-2021 · Federal · Agency guidance

FDIC Financial Institution Letters › Revised Guidelines for Appeals of Material Supervisory Determinations

6880 Federal Register / Vol. 86, No. 14 / Monday, January 25, 2021 / Notices 1 85 FR 54377 (Sep. 1, 2020). 2 12 U.S.C. 4806(a). 3 12 U.S.C. 4806(f)(2). 4 12 U.S.C. 4806(b). 5 12 U.S.C. 4806(f)(1) … (A). 6 12 U.S.C. 4806(f)(1)(B). 7 12 U.S.C. 4806(g). 8 60 FR 15923 (Mar. 28, 1995). 9 60 FR 15923, 15930.

CPSC OGC Advisory Opinion No. 309

CPSC OGC Advisory Opinion No. 309 (1987) · Federal · Agency guidance

CPSC Office of General Counsel Advisory Opinions › CPSC OGC Advisory Opinion No. 309

Hazard Advisory Panel (VHAPV') re­ port is a prerequisite to an advance notice of proposed rulemaking. 15 U.S.C. $5 2077, 2080(b). … Under FHSA section 18(b)(l)(A): [I]f a hazardous substance or its labeling is subject to a cautionary labeling requirement under section 2(p) . . .

Letter permitting bank to lawfully acquire a minority, non-controlling interest in a limited purpose national bank. (06/08/98)

OCC Interpretive Letter No. 831 · Federal · Agency guidance

OCC Interpretive Letters › Letter permitting bank to lawfully acquire a minority, non-controlling interest in a limited purpose national bank. (06/08/98)

See 12 U.S.C. § 1817(j)(8). … See generally, Accounting Principles Board, Op. 18 § 19 (1971) (equity method of accounting for investments in common stock); Interpretive Letter No. 692, supra. [ Bank1 ] will have a 24.9 percent ownership

Adjudication

USCIS Policy Manual, Vol. 6, Pt. J, Ch. 4 · Federal · Agency guidance

Agency Guidance › USCIS Policy Manual › Volume 6 - Immigrants › Part J - Special Immigrant Juveniles › USCIS Policy Manual, Vol. 6, Pt. J, Ch. 4

Mayorkas, the court issued a Declaratory Judgment that the tolling provisions in 8 CFR 204.11(g)(1) are not in accordance with the 180-day timeframe in 8 U.S.C. 1232(d)(2) to the extent that they allow … [18] See 8 CFR 205.2(b) . [19] See Saravia v. Barr (PDF) , 3:17-cv-03615 (N.D. Cal. January 14, 2021).

A national bank may invest CIF assets in mutual funds, including mutual funds that pay the bank a servicing fee, without the bank having to reduce its trustee fees, if the bank concludes, based upon a reasoned opinion of trust counsel, that such an arrangement is authorized by applicable state law, is consistent with the trust instrument, is appropriate for the particular trust accounts, and is consistent with OCC regulations, including in particular 12 C.F.R. 9.18(b)(12). (03/12/96)

OCC Interpretive Letter No. 722 · Federal · Agency guidance

OCC Interpretive Letters › A national bank may invest CIF assets in mutual funds, including mutual funds that pay the bank a servicing fee, without the bank having to reduce its trustee fees, if the bank concludes, based upon a reasoned opinion of trust counsel, that such an arrangement is authorized by applicable state law, is consistent with the trust instrument, is appropriate for the particular trust accounts, and is consistent with OCC regulations, including in particular 12 C.F.R. 9.18(b)(12). (03/12/96)

See 29 U.S.C. 1001, et seq.> Investing trust assets in mutual funds that compensate a national bank trustee for advisory or other services creates a conflict of interest under 12 C.F.R. 9.12(a).

Exemption Order Related to TIN Collection and Customer Identification Program Requirements (FRB)

FinCEN Guidance, Exemption Order Related to TIN Collection and Customer Identification Program Requirements (FRB), 2025-07-31 · Federal · Agency guidance

FinCEN Guidance (alerts, advisories, notices, bulletins, fact sheets) › Exemption Order Related to TIN Collection and Customer Identification Program Requirements (FRB)

A TIN is defined by section 6109 of the Internal Revenue Code of 1986 (26 U.S.C nts. … , chapter 2 of title I of Public Law 91-508, and section 21 of the Federal Deposit Insurance Act, to the extent delegated such authority by the Secretary”). 12 31 U.S.C. § 5318(l)(2). 13 31 U.S.C. §

Specifying the Goods and/or Services - in General

TMEP § 1402.01 · Federal · Agency guidance

Agency Guidance › USPTO TMEP › Chapter 1400 - Classification and Identification of Goods and Services › TMEP § 1402.01

A written application must specify the particular goods and/or services on or in connection with which the applicant uses, or has a bona fide intention to use, the mark in commerce. 15 U.S.C. §1051(a)( … because it is not particular enough to identify the kind of blanket on which the mark is used, e.g., fire blankets (Class 9), electric blankets for household purposes (Class 11), horse blankets (Class 18

Customer Identification Program Rule Exemption from Collecting Taxpayer Identification Number Information from Customers

FDIC FIL-26-2025 · Federal · Agency guidance

FDIC Financial Institution Letters › Customer Identification Program Rule Exemption from Collecting Taxpayer Identification Number Information from Customers

(Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021, Public Law 116-283, 134 Stat. 3388. 10 31 U.S.C. § 5311(2). 11 Treasury Order 180-01 (Jan. 14, 2020); see also 31 U.S.C. § … Several commenters questioned the reliability of third-party sources, with one bank trade association cautioning that 18 31 C.F.R. § 1020.220(a)(2)(ii). 19 31 U.S.C. § 5318(l)(5). 20 31 C.F.R.

Exemption Order Related to TIN Collection and Customer Identification Program Requirements (OCC, FDIC, and NCUA)

FinCEN Guidance, Exemption Order Related to TIN Collection and Customer Identification Program Requirements (OCC, FDIC, and NCUA), 2025-06-27 · Federal · Agency guidance

FinCEN Guidance (alerts, advisories, notices, bulletins, fact sheets) › Exemption Order Related to TIN Collection and Customer Identification Program Requirements (OCC, FDIC, and NCUA)

(Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021, Public Law 116-283, 134 Stat. 3388. 10 31 U.S.C. § 5311(2). 11 Treasury Order 180-01 (Jan. 14, 2020); see also 31 U.S.C. § … Several commenters questioned the reliability of third-party sources, with one bank trade association cautioning that 18 31 C.F.R. § 1020.220(a)(2)(ii). 19 31 U.S.C. § 5318(l)(5). 20 31 C.F.R.

Relief from swap reporting and recordkeeping requirements applicable to Cantor Futures Exchange, L.P. (CX), Cantor Clearinghouse, L.P. and CX’s market participants

CFTC Letter No. 17-32 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › Relief from swap reporting and recordkeeping requirements applicable to Cantor Futures Exchange, L.P. (CX), Cantor Clearinghouse, L.P. and CX’s market participants

Banc de Binary Ltd., et al., Case No. 2:13-cv-00992-MMD-VCF at 18, ¶65, (D. … Request at 2. ., et al., Case No. 2:13-cv-00992-MMD-VCF at 18, ¶65, (D.

No-Action Relief: Alternative to Fingerprinting to Establish Fitness of Associated Persons Residing Outside the United States.

CFTC Letter No. 13-29 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › No-Action Relief: Alternative to Fingerprinting to Establish Fitness of Associated Persons Residing Outside the United States.

In accordance with 44 U.S.C. … In accordance with 44 U.S.C.

No-action position for intended-to-be-cleared swaps traded on Eligible UK Trading Venues (as defined in the letter).

CFTC Letter No. 25-49 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › No-action position for intended-to-be-cleared swaps traded on Eligible UK Trading Venues (as defined in the letter).

CFTC Letter No. 25-49 No-Action December 18, 2025 U.S. … EBCS STRD Final Rule and ITBC Swaps On December 18, 2025, the Commission issued the EBCS STRD Final Rule to amend the External BCS and STRD Requirement.

Gemini Titan LLC (“Titan”) and Gemini Olympus, LLC (“Olympus”) request a no-action position, on their own behalf and on behalf of their participants, from the swap data reporting and recordkeeping requirements of regu...

CFTC Letter No. 26-12 · Federal · Agency guidance

CFTC Staff Letters (2008-present) › Gemini Titan LLC (“Titan”) and Gemini Olympus, LLC (“Olympus”) request a no-action position, on their own behalf and on behalf of their participants, from the swap data reporting and recordkeeping requirements of regu...

. § 1a(47). 18 Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping, 77 Fed. … . § 1a(47). 18 Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping, 77 Fed.

Supervisory Guidance on the Capital Treatment of Certain Investments in Covered Funds under the Regulatory Capital Rule and the Volcker Rule

SR 15-13 · Federal · Agency guidance

Federal Reserve SR/CA Letters › Supervisory Guidance on the Capital Treatment of Certain Investments in Covered Funds under the Regulatory Capital Rule and the Volcker Rule

See also 12 U.S.C. 1851; 12 CFR part 248 (Volcker Rule) ination staff. … For defining hedge fund and private equity fund, see 12 U.S.C. 1851(h)(2).

Letter clarifies OCC's position with respect to a Bank's ownership and use of real estate property that it has owned since 1924. (04/05/96)

OCC Interpretive Letter No. 758 · Federal · Agency guidance

OCC Interpretive Letters › Letter clarifies OCC's position with respect to a Bank's ownership and use of real estate property that it has owned since 1924. (04/05/96)

LEGAL ANALYSIS As you know, a national bank’s authority to own real estate is governed by 12 U.S.C. § 29 (“Section 29"). … belong to other landowners of improving it in a way that will yield the largest income, lessen its own rent, and render that part of its funds which 8 F. 981, 983-84 (8th Cir. 1902), aff’d, 194 U.S. 18