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Economic Growth and Regulatory Paperwork Reduction Act

Regulations Under Review

The chart below identifies the regulations included in the EGRPRA review. Scroll through the chart or, to go directly to the regulations in each category, click on a subject matter category to the right.

Information about submitting a comment can be found on the "Submit a Comment" tab at the top of each web page.

Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
1.  Applications and Reporting
Interagency Regulations
Bank Merger Act 12 CFR 5.33 12 CFR 262.3
(processing and notice)
12 CFR 225
Subpart B
12 CFR Part 303,
Subpart D
12 CFR 163.22 (also includes bulk asset transfers and thrift-to-bank conversions) 12 CFR Part 390,
Subpart E
 
Change in Bank Control 12 CFR 5.50 12 CFR Part 225,
Subpart E [Reg. Y]
12 CFR Part 303,
Subpart E


12 CFR Part 308,
Subparts D and E

12 CFR Part 174 (includes control under the Savings and Loan Holding Company Act)

 

12 CFR Part
391,
Subpart E
12 CFR Part 225,
Subpart E

--------------
12 CFR Part 238,
Subpart D
Notice of Addition or
Change of Directors
12 CFR 5.51 12 CFR Part 225,
Subpart H [Reg. Y]
12 CFR Part 303,
Subpart F

12 CFR Part 163,
Subpart H

 

12 CFR 390.360-.368 12 CFR Part 225,
Subpart H

--------------
12 CFR Part 238,
Subpart H
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
1.  Applications and Reporting
OCC Regulations   
National Bank Rules, Policies, and Procedures for Corporate Activities 12 CFR Part 5 (Generally)          
Federal Savings Association Application Processing Procedures      

12 CFR Part 116 (Additional OCC application and notice requirements are associated with specific regulations included elsewhere on this list. E.g., fiduciary powers applications, 12 CFR Part 150; subordinate organization activities, 12 CFR Part 159)

   
Federal Savings Association Capital Distribution       12 CFR Part 163,
Subpart E
   
Federal Mutual Savings Associations – Incorporation, Organization and Conversion; or Merger, Dissolution, Reorganization and Conversion  

 

 

  12 CFR Parts 143, 146    
Federal Stock Savings Associations– Incorporation, Organization and Conversion       12 CFR Part 152    
Federal Savings Association Mutual to Stock Conversions

 

 

    12 CFR Part 192 12 CFR Part 192 (Conversions from Mutual to Stock Form)  
Federal Savings Association Offices

 

 

    12 CFR 145.92-.96    
Federal Savings Association Regulatory Reporting Standards; Other Reporting Requirements; and Recordkeeping       12 CFR Part 162;
12 CFR 163.170;
12 CFR 163.180
   
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
1.  Applications and Reporting
Board Regulations  
Concentration Limits 12 CFR Part 251
 [Reg. XX]
12 CFR Part 251
 [Reg. XX]
12 CFR Part 251
 [Reg. XX]
12 CFR Part 251
 [Reg. XX]
12 CFR Part 251
 [Reg. XX]
12 CFR Part 251
 [Reg. XX]

----------------------
12 CFR Part 251
 [Reg. XX]
Holding Companies – Formations, Acquisitions and Nonbanking Activities          

12 CFR Part 225 [Reg. Y],
Subparts A, B, C, D, I, Appx. C

12 CFR 262.3
--------------
12 CFR Part 238 [Reg. LL]
Subparts A, B, C, E, F

12 CFR Part 239 [Reg. MM]

12 CFR 262.3

State Member Banks  

12 CFR Part 208 [Reg. H],
Subparts A, B,C, G

12 CFR Part 209 [Reg. I]

12 CFR 262.3

       
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
1.  Applications and Reporting
FDIC Regulations
Call Reports and Other Forms, Instructions and Reports

 12 CFR Part 304
(excluding 304.3(d))

 

12 CFR Part 304
(excluding 304.3(d))
12 CFR Part 304      
Deposit Insurance Filing Procedures

12 CFR Part 303,
Subpart B

 

12 CFR Part 303,
Subpart B
12 CFR Part 303,
Subpart B
12 CFR Part 303,
Subpart B
12 CFR Part 390,
Subpart F
 

Extension of Corporate Powers

 

    12 CFR Part 333      

Filing Procedures and Delegations of Authority

 

 

 

 

  12 CFR Part 303   12 CFR Part 390,
Subpart F
 
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
2.  Powers and Activities
Interagency Regulations
Proprietary Trading and Relationships with Covered Funds 12 CFR Part 44

12 CFR Part 248
 [Reg. VV]

12 CFR Part 351

12 CFR Part 44 12 CFR Part 351 12 CFR Part 248
 [Reg. VV]

----------------------
12 CFR Part 248
 [Reg. VV]
Retail Foreign Exchange Transactions 12 CFR Part 48 12 CFR Part 240
 [Reg. NN]
12 CFR Part 349 12 CFR Part 48 12 CFR Part 349 12 CFR Part 240
 [Reg. NN]

----------------------
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
2.  Powers and Activities
OCC Regulations

National Bank Activities and Operations

 

12 CFR Part 7,Subparts A, D, and E          
National Bank Community Development Corporations, Community Development Projects, and Other Public Welfare Investments 12 CFR Part 24          
National Bank Debt Cancellation Contracts and Debt Suspension Agreements 12 CFR Part 37          
National Bank Fiduciary Activities 12 CFR Part 9          

National Bank Investment in Bank Premises

 

12 CFR 5.37          

National Bank Investment Securities

 

12 CFR Part 1 12 CFR Part 1        

National Bank Leasing

 

12 CFR Part 23          
National Bank Real Estate Lending 12 CFR Part 34,
Subparts A and B
         
National Bank Sales of Credit Life Insurance 12 CFR Part 2          

Federal Savings Association Deposits

 

 

      12 CFR Parts 157, 161 (definitions)    

Federal Savings Association Electronic Operations

 

 

      12 CFR Part 155    
Federal Savings Association Fiduciary Powers of Federal Savings Associations
 
      12 CFR Part 150    
Federal Savings Association General       12 CFR Part 145; See also: provisions on chartering, organization and bylaws at 12 CFR Part 152 (Federal Stock Associations); 12 CFR Parts 143, 144, 146 (Federal Mutual Savings Associations)    

Federal Savings Association Lending and Investment

 

      12 CFR Part 160    

Preemption of State Due-On-Sale Laws (Implementation of Garn-St Germain)

 

12 CFR Part 191        12 CFR Part 191 12 CFR Part 191 12 CFR Part 191 12 CFR Part 191 (Preemption of State Due-on-Sale Laws)  
Preemption of State Usury Laws (Implementation of DIDMCA) 12 CFR Part 190 12 CFR Part 190 12 CFR Part 190 12 CFR Part 190 12 CFR Part 190 (Preemption of State Usury Laws)  
Federal Savings Association Subordinate Organizations       12 CFR Part 159    
Retail Foreign Exchange Transactions 12 CFR Part 48     12 CFR Part 48    
Preemption Generally 12 CFR Part 7,
Subpart D
    12 CFR 7.4010    
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
2.  Powers and Activities
Board Regulations 
Bank Holding Companies,
Financial Holding Companies,
Savings and Loan Holding
Companies
(General provisions not included elsewhere in this list)
         

12 CFR Part 225,
Subparts A, F, J

--------------
12 CFR Part 238,
Subparts A, G, K, I

12 CFR Part 239

Activities and Operations  

12 CFR Part 208,  208.37,
Subparts A, G

12 CFR Part 209

       
Community Development;
Public Welfare Investments;
Investment in Bank Premises;
Investment Securities
  12 CFR Part 208,
Subpart B
       
Fiduciary Activities   12 CFR 225.28(b)(5)        
Leasing of
Real Property
Personal Property
  12 CFR 225.28(b)(3)        
Proprietary Trading and Relationships with Covered Funds           12 CFR Part 225,
 Subpart K [Reg. Y]

----------------------
12 CFR Part 225,
 Subpart K [Reg. Y]
Real Estate Lending   12 CFR Part 208,
Subparts E
      12 CFR Part 225,
Subpart G

--------------
Sales of Insurance   12 CFR Part 208,
Subpart H
       
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
2.  Powers and Activities
FDIC Regulations
Activities of Insured State Banks  

12 CFR Part 362,
Subpart A;

12 CFR Part 303,
Subpart G

12 CFR Part 362,
Subparts A, B, and E;

12 CFR Part 303,
Subpart G

  12 CFR Part 390,
Subpart O
 
Activities of Insured State Savings Associations        

12 CFR Part 362,
Subparts C and D; 

12 CFR Part 303,
Subpart H

 
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
3.  International Operations
Interagency Regulations
International Lending Supervision 12 CFR Part 28,
Subpart C
12 CFR Part 211,
Subpart D [Reg. K]
12 CFR Part 347,
Subpart C
    12 CFR Part 211,
Subpart D [Reg. K]

--------------
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
3.  International Operations
OCC Regulations
Foreign Operations of National Banks 12 CFR Part 28,
Subpart A
         
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
3.  International Operations
Board Regulations
International Operations of U.S. Banking Organizations 12 CFR Part 211,
Subpart A
12 CFR Part 211,
Subpart A
      12 CFR Part 211,
Subpart A

--------------
Edge and Agreement Corporations 12 CFR 211.5-7 12 CFR 211.5-7       12 CFR 211.5-7
--------------
Foreign Banking Organizations
Interstate Banking Operations
Nonbanking Activities
U.S. Offices
          12 CFR Part 211
Subpart B

--------------
Export Trading Companies;
International Lending Supervision
          12 CFR Part 211,
Subparts C, D
Foreign Banking Organizations:
 Stress Tests, Risk Committee,
 and Enhanced Prudential
 Standards
          12 CFR Part 252
 Subparts L–O
 [Reg. YY]

----------------------
Swaps Entities   12 CFR Part 237
 [Reg. KK]
      12 CFR Part 237
 [Reg. KK]

----------------------
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
3.  International Operations
FDIC Regulations
Foreign Banking and Investment by Insured State Nonmember Banks    

12 CFR Part 347,
Subpart A;

12 CFR Part 303,
Subpart J

     
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
4.Banking Operations
OCC Regulations
Assessment of Fees 12 CFR Part 8     12 CFR Part 8    
Bank Operations 12 CFR Part 7,
Subpart C
         
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
4.Banking Operations
Board Regulations   
Assessment of Fees           12 CFR Part 246
 [Reg. TT]

----------------------
12 CFR Part 246
 [Reg. TT]
Availability of Funds and Collection of Checks 12 CFR Part 229 [Reg. CC] 12 CFR Part 229 [Reg. CC] 12 CFR Part 229 [Reg. CC] 12 CFR Part 229 [Reg. CC] 12 CFR Part 229 [Reg. CC]  
Collection of Checks and Other Items by Federal Reserve Banks and Funds Transfers Through Fedwire 12 CFR Part 210 [Reg. J] 12 CFR Part 210 [Reg. J] 12 CFR Part 210 [Reg. J] 12 CFR Part 210 [Reg. J] 12 CFR Part 210 [Reg. J]  
Debit Card Interchange Fees 12 CFR Part 235
 [Reg. II]
12 CFR Part 235
 [Reg. II]
12 CFR Part 235
 [Reg. II]
12 CFR Part 235
 [Reg. II]
12 CFR Part 235
 [Reg. II]
 
Reimbursement for Providing Financial Records;
Recordkeeping Requirements for Certain Financial Records
12 CFR Part 219 [Reg. S] 12 CFR Part 219 [Reg. S] 12 CFR Part 219 [Reg. S] 12 CFR Part 219 [Reg. S] 12 CFR Part 219 [Reg. S]  
Reserve Requirements of Depository Institutions 12 CFR Part 204 [Reg. D] 12 CFR Part 204 [Reg. D] 12 CFR Part 204 [Reg. D] 12 CFR Part 204 [Reg. D] 12 CFR Part 204 [Reg. D]  
The Payment System Risk Reduction Policy Federal Reserve Regulatory Service 9-1000 Federal Reserve Regulatory Service 9-1000 Federal Reserve Regulatory Service 9-1000 Federal Reserve Regulatory Service 9-1000 Federal Reserve Regulatory Service 9-1000 Federal Reserve Regulatory Service 9-1000
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
4.Banking Operations
FDIC Regulations

Assessments

 

12 CFR Part 327 12 CFR Part 327 12 CFR Part 327 12 CFR Part 327 12 CFR Part 327  
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
5.  Capital 
Interagency Regulations
Capital Adequacy:
 General
 Ratio and Buffers
 Definition of Capital Transition
12 CFR Part 3,
 Subparts A–C, G–J
12 CFR Part 217,
 Subparts A–C, G
 [Reg. Q]

12 CFR Part 324,
 Subparts A–C, G

[Previously found in 12 CFR Part 325]

12 CFR Part 3,
 Subparts A–C, G–J

12 CFR Part 324,
 Subparts A–C, G

[Previously found in 12 CFR Part 390, Subpart Z]

12 CFR Part 217,
 Subparts A–C, G
 [Reg. Q]

----------------------
12 CFR Part 217,
 Subparts A–C, G
 [Reg. Q]
Capital Adequacy:
 Risk-Weighted Assets—
 Standardized Approach
12 CFR Part 3,
 Subpart D
12 CFR Part 217,
 Subpart D [Reg. Q]

12 CFR Part 324,
 Subpart D

[Previously found in 12 CFR Part 325 Appx. A]

12 CFR Part 3,
 Subpart D

12 CFR Part 324,
 Subpart D

[Previously found in 12 CFR Part 390, Subpart Z, Appx. A]

12 CFR Part 217,
 Subpart D [Reg. Q]

----------------------
12 CFR Part 217,
 Subpart D [Reg. Q]
Capital Adequacy:
 Risk-Weighted Assets—
 Advanced Measurement
 Approaches
12 CFR Part 3,
 Subpart E
12 CFR Part 217,
 Subpart E [Reg. Q]

12 CFR Part 324,
 Subpart E

[Previously found in 12 CFR Part 325 Appx. D]

12 CFR Part 3,
 Subpart E

12 CFR Part 324,
 Subpart E

[Previously found in 12 CFR Part 390, Subpart Z, Appx. A]

12 CFR Part 217,
 Subpart E [Reg. Q]

----------------------
12 CFR Part 217,
 Subpart E [Reg. Q]
Capital Adequacy:
 Risk-Weighted Assets—
 Market Risk
12 CFR Part 3,
 Subpart F
12 CFR Part 217,
 Subpart F [Reg. Q]

12 CFR Part 324,
 Subpart F

[Previously found in 12 CFR Part 325 Appx. C]

12 CFR Part 3,
 Subpart F

12 CFR Part 324,
 Subpart F

[Previously found in 12 CFR Part 390, Subpart Z, Appx. A]

12 CFR Part 217,
 Subpart F [Reg. Q]

---------------------
12 CFR Part 217,
 Subpart F [Reg. Q]
Capital Adequacy Guidelines 12 CFR Part 3,
 Appx. A and B
12 CFR Part 208,
 Appx. A, B, and E
 [Reg. H]

12 CFR Part 324

[Previously found in 12 CFR Part 325 Appx. A–D]

12 CFR Part 3,
 Appx. A and B

12 CFR Part 324

[Previously found in 12 CFR Part 390, Subpart Z, Appx. A]

12 CFR Part 225,
 Appx. A, B, D,
 and E [Reg. Y]

---------------------
Prompt Corrective Action 12 CFR Part 6 12 CFR Part 208,
 Subpart D [Reg. H]
;
12 CFR Part 263,
 Subpart H
12 CFR Part 325,
 Subpart B
12 CFR Part 6;
12 CFR 165.8;
12 CFR 165.9
12 CFR Part 390,
 Subpart Y
12 CFR Part 208,
 Subpart D [Reg. H]
;
12 CFR Part 263,
 Subpart H

----------------------

 
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
5.  Capital 
OCC Regulations 
Annual Stress Tests 12 CFR Part 46     12 CFR Part 46    
National Bank Changes in Permanent Capital; Subordinated Debt as Capital
 
12 CFR 5.46-.47          
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
5.  Capital 
Board Regulations
Capital Planning           12 CFR Part 225.8
 [Reg. Y]

----------------------
Stress Tests—U.S. Organizations
 Company Run and
 Supervisory
  12 CFR Part 252,
 Subparts B, E, and F
 [Reg. YY]
      12 CFR Part 252,
 Subparts B, E, and F
 [Reg. YY]

----------------------
12 CFR Part 252,
 Subpart B [Reg. YY]
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
5.  Capital 
FDIC Regulations
Annual Stress Tests     12 CFR Part 325,
 Subpart C
  12 CFR Part 325,
 Subpart C
 
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
6.  Community Reinvestment Act1
Interagency Regulations
Community Reinvestment Act (CRA) 12 CFR Part 25 12 CFR Part 228 [Reg. BB] 12 CFR Part 345 12 CFR Part 195 12 CFR Part 195 12 CFR 228
--------------
12 CFR 228
Disclosure and Reporting of CRA-Related Agreements 12 CFR Part 35 12 CFR Part 207 [Reg. G] 12 CFR Part 346 12 CFR Part 35 12 CFR Part 346 12 CFR 207 [Reg G]
--------------
12 CFR 207 [Reg G]
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
7.  Consumer Protection2
Interagency Regulations
Consumer Protection in Sales of Insurance

 

12 CFR Part 14 12 CFR Part 208,
Subpart H [Reg. H]
12 CFR Part 343 12 CFR Part 14 12 CFR Part 390,
Subpart I
 
Fair Housing 12 CFR Part 27   12 CFR Part 338 12 CFR Part 128 (including other non discrimination requirements) 12 CFR Part 390,
Subpart G
 
Loans in Identified Flood Hazard Areas 12 CFR Part 22 12 CFR 208.25 [Reg. H] (See also proposal to amend Part 208 at 78 FR 65108 (Oct. 30, 2013)). 12 CFR Part 339
(See also proposal to amend Part 339 at 78 FR 65108 (Oct. 30, 2013)).
12 CFR Part 172 12 CFR Part  391,
Subpart D

(See also proposal to apply proposed amendments to Part 339 to state savings associations at 78 FR 65108 (Oct. 30, 2013)).
 
Prohibition Against Use of Interstate Branches Primarily for Deposit Production 12 CFR Part 25,
Subpart E
12 CFR 208.7 [Reg. H] 12 CFR Part 369      
Safeguarding Customer Information 12 CFR Part 30, Appx. B 12 CFR 208.7 [Reg. H] 12 CFR Part 364, Appx. B 12 CFR Part 170, Appx. B 12 CFR 391,
Subpart B, Appx. B

12 CFR Part 225, Appx. F [Reg. Y]

----------

Fair Credit Reporting Act
Duties of Users of Consumer Reports Regarding Address Discrepancies and Records Disposal
12 CFR Part 41,
Subpart I
12 CFR Part 222,
Subpart I [Reg. V]
12 CFR Part 334,
Subpart I

12 CFR Part 41,
Subpart I

12 CFR Part 391,
Subpart C
 
Fair Credit Reporting Act
Consumer Information
Identity Theft Red Flags
12 CFR Part 41,
Subpart J
12 CFR Part 222,
Subpart J [Reg. V]
12 CFR Part 334,
Subpart J

12 CFR Part 41,
Subpart J

12 CFR Part 391,
Subpart C
 
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
7.  Consumer Protection2
FDIC Regulations
Advertisement of Membership

 

12 CFR Part 328 12 CFR Part 328 12 CFR Part 328 12 CFR Part 328 12 CFR Part 328;
See also 12 CFR 390.333
 
Deposit Insurance Coverage 12 CFR Part 330 12 CFR Part 330 12 CFR Part 330 12 CFR Part 330 12 CFR Part 330;
See also 12 CFR 390.231
 
Certification of Assumption of Deposits and Notification of Changes of Insured Status 12 CFR Part 307 12 CFR Part 307 12 CFR Part 307 12 CFR Part 307 12 CFR Part 307;
See also 12 CFR  390.332
 
State Savings Association
Tying Restriction Exception
        12 CFR 390.335  
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
7.  Consumer Protection2– 
OCC Regulations
Federal Savings Association Advertising       12 CFR 163.27    
Federal Savings Association Tying Restriction Exception

 

      12 CFR 163.36    
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
8.  Directors, Officers and Employees
Interagency Regulations
Disclosure of Financial Information

 

12 CFR Part 18   12 CFR Part 350      
Golden Parachute and Indemnification Programs 12 CFR Part 359 12 CFR Part 359 12 CFR Part 359 12 CFR Part 359;
See also 12 CFR 145.121
12 CFR Part 359 12 CFR Part 359
--------------
12 CFR Part 359
Limits on Extensions of Credit to Executive Officers, Directors and Principal Shareholders; Related Disclosure Requirements

 

12 CFR Part 31 12 CFR Part 215
[Reg. O]
12 CFR 337.3;
12 CFR Part 349
12 CFR 163.43 12 CFR 390.338  
Management Official Interlocks 12 CFR Part 26 12 CFR Part 212
[Reg. L]
12 CFR Part 348

12 CFR Part 26

12 CFR Part 390,
Subpart V

12 CFR Part 212 [Reg. L]

-------------

12 CFR Part 238,
Subpart J [Reg. LL] 

Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
8.  Directors, Officers and Employees
OCC Regulations
National Bank Activities and Operations – Corporate Practices 12 CFR Part 7,
Subpart B
         
Federal Savings Association Board of Directors Composition

 

      12 CFR 163.33    
Federal Savings Association Bond Coverage

 

      12 CFR 163.190-.191    
Federal Savings Association Employment Contracts, Compensation, Pension Plans

 

      12 CFR 163.39;
12 CFR 163.47;
12 CFR 163.161
   
Federal Savings Association Restrictions on Transactions with Officers, Directors, and Others       12 CFR 160.130;
12 CFR 163.200-.201
   

 

Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
8.  Directors, Officers and Employees
FDIC Regulations
State Savings Association Directors, Officers, and Employees      

 

12 CFR 390.334  
State Savings Association
Bond Coverage
        12 CFR 390.356.357  
State Savings Association Employment Contracts, Compensation, Pension Plans         12 CFR 390.336;
12 CFR 390.332;
12 CFR 390.339
 
State Savings Association Restrictions on Transactions with Officers, Directors, and Others         12 CFR 390.269  
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
9.  Money Laundering 
Interagency Regulations
Bank Secrecy Act Compliance 12 CFR Part 21,
Subpart C
12 CFR 208.63 [Reg. H] 12 CFR Part 326,
Subpart B

12 CFR Part 21
Subpart C

12 CFR  390.354  
Reports of Crimes or Suspected Crimes 12 CFR Part 21,
Subpart B
12 CFR 208.62-.63 [Reg. H] 12 CFR Part 353 12 CFR 163.180(d) 12 CFR  390.355 12 CFR 225.4(f) [Reg. Y]


 
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
10.  Rules of Procedure 
Interagency Regulations
Uniform Rules of Practice and Procedure 12 CFR Part 19 12 CFR Part 263 12 CFR Part 308 12 CFR Part 109 12 CFR Part 390.30 12 CFR Part 263
--------------
12 CFR Part 263
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
10.  Rules of Procedure 
OCC Regulations   
National Bank Voluntary Liquidation

 

12 CFR 5.48          
Federal Savings Association Investigative Proceedings and Formal Examinations       12 CFR Part 112  
 
Federal Savings Association Possession by Conservators and Receivers for Federal and State Savings Associations       12 CFR Part 158    
Federal Savings Association Removals, Suspensions and Prohibitions Where a Crime is Charged or Proven       12 CFR Part 108  
 
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
10.  Rules of Procedure 
FDIC Regulations   
Orderly Liquidation Authority           12 CFR Part 380
----------------------
12 CFR Part 380
Resolution and Receivership Rules

 

12 CFR Part 360 12 CFR Part 360 12 CFR Part 360 12 CFR Part 360 12 CFR Part 360;
See also 12 CFR Part 390,
Subpart N
 
Recordkeeping Requirements for Qualified Financial Contracts 12 CFR Part 371 12 CFR Part 371 12 CFR Part 371 12 CFR Part 371 12 CFR Part 371  
Restrictions on Sale of Assets by the Federal Deposit Insurance Corporation 12 CFR Part 340 12 CFR Part 340 12 CFR Part 340 12 CFR Part 340 12 CFR Part 340  
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
11.  Safety and Soundness
Interagency Regulations
Appraisal Standards for Federally Related Transactions 12 CFR Part 34,
Subpart C
12 CFR 208.50 [Reg. H];

12 CFR Part 225,
Subpart G [Reg. Y]
12 CFR Part 323

12 CFR Part 34,
Subpart C
(effective June 16, 2014, see 79 FR 28393 (May 16, 2014)).

12 CFR Part 390,
Subpart X
12 CFR Part 225,
Subpart G
--------------
Appraisals:
 Higher-priced Mortgages
12 CFR Part 34,
 Subpart G
12 CFR 226.43;
12 CFR Part 226,
 Appx. N and O, and
 Supp. I [Reg. Z]
12 CFR Part 1026
 [Reg. Z]
12 CFR Part 34,
 Subpart G
  12 CFR 226.43;
12 CFR Part 226,
 Appx. N and O, and
 Supp. I [Reg. Z]

----------------------
12 CFR 226.43;
12 CFR Part 226,
 Appx. N and O, and
 Supp. I [Reg. Z]
Credit Risk Retention 12 CFR Part 43 12 CFR Part 244
 [Reg. RR]
12 CFR Part 373 12 CFR Part 43 12 CFR Part 373 12 CFR Part 244
 [Reg. RR]

----------------------
12 CFR Part 244
 [Reg. RR]
Frequency of Safety and Soundness Examination 12 CFR 4.6-.7 12 CFR 208.64 12 CFR 337.12 12 CFR 4.6

(See also: 12 CFR 163.170)
12 CFR 390.351  
Lending Limits

 

12 CFR Part 32 12 CFR Part 215,
Subpart A
   

12 CFR Part 32

   
Liquidity Risk 12 CFR Part 50 12 CFR Part 249
 [Reg. WW]
12 CFR Part 329 12 CFR Part 50 12 CFR Part 329 12 CFR Part 249
 [Reg. WW]

----------------------
12 CFR Part 249
 [Reg. WW]
Real Estate Lending Standards 12 CFR Part 34,
Subpart D
12 CFR Part 208, Subpart E and appx. C [Reg. H] 12 CFR Part 365 12 CFR 160.100;
12 CFR 163.101
12 CFR Part 390,
Subpart P
12 CFR Part 225,
Subpart G
--------------
Resolution Plans           12 CFR Part 381;
12 CFR Part 243
 [Reg. QQ]

----------------------
Security Devices and Procedures

 

12 CFR Part 21,
Subpart A
12 CFR 208.61 [Reg. H] 12 CFR Part 326,
Subpart A
12 CFR Part 168 12 CFR Part 391,
Subpart A
 
Standards for Safety and Soundness

 

12 CFR Part 30 12 CFR Part 208,
Appx. D-1 [Reg. H]
12 CFR Part 364 12 CFR Part 170 12 CFR Part 391,
Subpart B
 
Transactions with Affiliates 12 CFR Part 223
[Reg. W];
12 CFR Part 31
12 CFR Part 223 [Reg. W]   12 CFR 163.41    
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
11.  Safety and Soundness
OCC Regulations  
Heightened Expectations Guidelines 12 CFR Part 30,
 Appx. D
    12 CFR Part 30,
 Appx. D
   
National Bank Other Real Estate Owned

 

12 CFR Part 34,
Subpart E
         
Savings Associations and Savings Association Holding Companies Audits       12 CFR 162.4,
See also 12 CFR Part 363
   
Federal Savings Association Financial Management Policies       12 CFR Part 163,
Subpart F
   
Federal Savings Association
Lending and Investment – Additional Safety and Soundness Limitations
      12 CFR Part 160 12 CFR Part 160
(Lending and Investment)
 
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
11.  Safety and Soundness
Board Regulations 
Appraisals:
 Appraiser Independence
  12 CFR 226.42;
12 CFR Part 226,
 Supp. I [Reg. Z
]
12 CFR Part 1026
 [Reg. Z]
    12 CFR 226.42;
12 CFR Part 226,
 Supp. I [Reg. Z]

----------------------
12 CFR 226.42;
12 CFR Part 226,
 Supp. I [Reg. Z]
Definitions related to the Financial Stability Oversight Council           12 CFR Part 242
 [Reg. PP]
Enhanced Prudential Standards
 Risk Committee Requirement
   (for certain BHCs)
 Standards for BHCs with consolidated assets $50 billion
 or more
          12 CFR Part 252,
 Subparts B and C
 [Reg. YY]
Extensions of Credit by Federal Reserve Banks 12 CFR Part 201 [Reg. A] 12 CFR Part 201 [Reg. A] 12 CFR Part 201 [Reg. A] 12 CFR Part 201 [Reg. A] 12 CFR Part 201 [Reg. A]  
Financial Market Utilities   12 CFR Part 234
 [Reg. HH]
       
Limitations on Interbank Liabilities

 

12 CFR Part 206 [Reg. F] 12 CFR Part 206 [Reg. F] 12 CFR Part 206 [Reg. F] 12 CFR Part 206 [Reg. F] 12 CFR Part 206 [Reg. F]  
Securities Holding Companies           12 CFR Part 241
 [Reg. OO]
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
11.  Safety and Soundness
FDIC Regulations    
Annual Independent Audits and Reporting Requirements 12 CFR Part 363 12 CFR Part 363 12 CFR Part 363 12 CFR Part 363;
See also 12 CFR 162.4
12 CFR Part 363;
See also 12 CFR 390.322
 
Resolution Plans 12 CFR Part 360.10 12 CFR Part 360.10 12 CFR Part 360.10 12 CFR Part 360.10 12 CFR Part 360.10  
Unsafe and Unsound Banking Practices (Standby Letters of Credit)     12 CFR 337.2      
Unsafe and Unsound Banking Practices ( Brokered Deposits)  12 CFR 337.6 12 CFR 337.6 12 CFR 337.6 12 CFR 337.6 12 CFR 337.6  
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
12.  Securities  
Interagency Regulations
Banks as Registered Clearing Agencies 12 CFR 19.135 12 CFR 208.32-33
[Reg. H]
12 CFR Part 308,
Subpart S
     
Banks as Securities Transfer Agents 12 CFR 9.20 12 CFR 208.31
[Reg. H]
12 CFR Part 341      
Government Securities Sales Practices 12 CFR Part 13 12 CFR 208.37
[Reg. H]
12 CFR Part 368      
Recordkeeping and Confirmation of Securities Transactions Effected by Banks 12 CFR Part 12 12 CFR 208.34
[Reg. H]
12 CFR Part 344 12 CFR Part 151 12 CFR Part 344  
Reporting Requirements for Reported Securities Under the Securities Exchange Act of 1934 12 CFR Part 11 12 CFR 208.36
[Reg. H]
12 CFR Part 335 12 CFR Part 194 12 CFR Part 390,
Subpart U
 
Securities Offerings 12 CFR Part 16     12 CFR Part 197    
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
12.  Securities  
OCC Regulations
National Bank Municipal Securities Dealer Activities of Banks 12 CFR Part 10          
Federal Savings Associations Accounting Requirements / Financial Statements       12 CFR Part 193    
Federal Savings Associations
Proxies
      12 CFR Part 169 12 CFR Part 169
(Proxies)
 
Federal Savings Associations
Rules on the Issuance and Sale of Institution Securities
      12 CFR 163.5;
12 CFR Part 163,
Subpart C
   
Subject National Banks State Member Banks State
Non-Member
Banks
Federal Savings Associations State Savings Associations BHCs & FHCs
- - - - -
SLHCs
12.  Securities  
Board Regulations
Credit by Banks and Persons Other than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stock 12 CFR Part 221 [Reg. U] 12 CFR Part 221 [Reg. U] 12 CFR Part 221 [Reg. U] 12 CFR Part 221 [Reg. U] 12 CFR Part 221 [Reg. U] 12 CFR Part 221 [Reg. U]
--------------
12 CFR Part 221 [Reg. U]

 

1 Community development regulations are being published for comment as part of the Powers and Activities category.

2 Regulations for which rulemaking authority has transferred to the CFPB are not included in this Consumer Protection category... As described in the Supplementary Information section of this notice, the CFPB is required to review its significant rules and publish a report of its review no later than five years after they take effect, in a process separate from the EGRPRA process.

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