12
CFR Part 1 - Investment Securities
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1.1 Authority, purpose, and scope
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1.2 Definitions
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1.3 Limitations on dealing in,
underwriting, and
purchase
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1.4 Calculation of limits
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1.5 Safe and sound banking practices
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1.6 Convertible securities
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1.7 Securities held in satisfaction
of debts
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1.8 Nonconforming investments
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1.100 Indirect general obligations
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1.110 Taxing powers of a State or
political
subdivision
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1.120 Pre-refunded or escrowed bonds
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1.130 Type II securities; guidelines
for obligations
12
CFR Part 10 - Municipal Securities Dealers
12
CFR Part 12 - Recordkeeping and Confirmation Requirements
for Securities Transactions
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12.1 Authority, purpose, and scope
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12.2 Definitions
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12.3 Recordkeeping
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12.4 Content and time of notification
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12.5 Notification by agreement;
alternative forms
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12.6 Fees
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12.7 Securities trading policies
and procedures
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12.8 Waivers
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12.9 Settlement of securities transactions
Interpretations -
12.101 National
bank disclosure of remuneration
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12.102 National bank use of electronic
communications
12
CFR Part 13 - Government Securities Sales Practices
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13.1 Scope
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13.2 Definitions
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13.3 Business conduct
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13.4 Recommendations to customers
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13.5 Customer information
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13.100 Obligations concerning institutional
customers
OCC
Interpretations - Specific Services
12
CFR Part 208, Subpart C - Bank Securities and
Securities-Related
Activities (part of Reg H)
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208.30 Authority, purpose, and scope
- 208.31 State member banks as transfer agents
- 208.32 Notice
of disciplinary sanctions
- 208.33 Application
for stay
- 208.34 Recordkeeping
- 208.36 Reporting requirements for State member
banks
- 208.37 Government securities sales practices
- 12 CFR Part 211,
Subpart D, Section 211.605
12
CFR Part 341 - Registration of Securities Transfer
Agents
- 341.1 Scope
- 341.2 Definitions
- 341.3 Registration as securities transfer agent
- 341.4 Amendments to registration
- 341.5 Withdrawal from registration
- 341.6 Reports
- 341.7 Delegation of authority
12
CFR Part 344 - Recordkeeping and Confirmation Requirements for Securities Transactions
- 344.1 Purpose and scope
- 344.2 Exceptions
- 344.3 Definitions
- 344.4 Recordkeeping
- 344.5 Content and time of notification
- 344.6 Notification
by agreement
- 344.7 Settlement of securities transactions
- 344.8 Securities trading policies and procedures
- 344.9 Personal
securities trading reporting
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344.10 Waivers
- 12 CFR Part
347 International Banking
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347.111 Underwriting and dealing
limits applicable to foreign organizations held
by insured state nonmember banks
12
CFR Part 368 - Government Securities Sales
Practices
- 368.1 Scope
- 368.2 Definitions
- 368.3 Business conduct
- 368.4 Recommendations to customers
- 368.5 Customer information
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368.100 Obligations concerning institutional
customers
FDIC
General Counsel Opinions
12
CFR Part 551 - Recordkeeping and Confirmation Requirements
for Securities Transactions
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551.10 What does this part do?
- 551.20 Must I comply with this part?
- 551.30 What requirements apply to all transactions?
- 551.40 What definitions apply to this part?
Subpart A - Recordkeeping
Requirements
- 551.50 What
records must I maintain?
- 551.60 How must I maintain my records?
Subpart B - Content and Timing
of Notice
- 551.70 What
type of notice must I provide?
- 551.80 How
do I provide for a registered broker-dealer?
- 551.90 How do I provide a written notice?
- 551.100 What are the alternate notice requirements?
- 551.110 May I provide a notice electronically?
- 551.120 May I charge a fee for a notice?
Subpart C - Settlement of
Securities Transactions
- 551.130 When must I settle a securities transaction?
Subpart D - Securities Trading
Policies and Procedures
- 551.140 What policies and procedures must I
maintain?
- 551.150 How do my officers and employees file
reports?
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563.81 Issuance of subordinated debt securities
OTS
Interpretations - Specific Services
Implements
portions of
