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OCC Bulletin
February 23, 2006 |
Risk-Based Capital -- Securities Borrowing Transactions: Final Rule This bulletin transmits a final rule on the risk-based capital treatment of securities borrowing transactions in which the borrower of the security posts cash collateral.   |
OCC Bulletin
August 17, 2000 |
Bank Secrecy Act An interim rule amended the exemption provisions for filing currency transaction reports contained in the Bank Secrecy Act... |
OCC Bulletin
May 7, 2003 |
Changes to Part 5 The interim rule amends 12 CFR 5.2 to expressly provide that the OCC may permit national banks to make any class of filings electronically and refers national banks to the Comptroller's Licensing Manual to find information about the filings that are available for electronic submission. |
OCC Bulletin
December 6, 2000 |
Risk-Based Capital The Agencies are proposing to modify the risk-based capital treatment on claims against certain securities firms. The proposal would reduce the risk weight on claims on, or guaranteed by, qualifying securities firms to 20 percent from 100 percent... |
OCC Bulletin
October 6, 2005 |
Electronic Filing and Disclosure of Beneficial Ownership Reports This final rule, which applies to national banks that register their securities with the Office of the Comptroller of the Currency, amends the OCC's rules governing application of Securities Exchange Act disclosure rules to national banks (12 CFR 11). |
OCC Bulletin
May 9, 2006 |
Revised Interagency Statement Open for Comment The attached interagency statement describes revised sound practices for managing complex structured finance activities that may pose heightened legal or reputational risks to financial institutions. |
OCC Bulletin
April 9, 2002 |
Risk-Based Capital A final rule permits banks to reduce the risk weight on certain claims against qualifying securities firms from 100 percent to 20 percent... |
OCC Bulletin
March 10, 2000 |
Risk-Based Capital-Recourse and Direct Credit Substitutes This bulletin transmits a proposed rule that would amend the OCC's risk-based capital regulations to treat direct credit substitutes and recourse obligations consistently and would incorporate the use of credit ratings as an indicator of a bank's risk of loss... |
OCC Bulletin
September 29, 2000 |
Risk-Based Capital -- Residual Interests This bulletin transmits a proposed rule on residual interests that would alter the risk-based capital treatment of certain residual interests in asset securitizations or other transfers of financial assets... |
OCC Bulletin
April 28, 2004
Tommy Snow |
Regulatory Capital - Asset-Backed Commercial Paper Programs Interim final rule on asset-backed commercial paper programs published in the Federal Register on April 26. |
OCC Bulletin
December 6, 2005 |
Interim Final Rule: Assessment of Fees The interim final rule revises the current process for assessment collection. |
OCC Bulletin
January 5, 2007 |
Complex Structured Finance Transactions: Notice of Final Interagency Statement Modifications to the initial statement address issues and concerns raised by commenters. |
OCC Bulletin
June 20, 2000 |
Privacy of Consumer Financial Information Privacy provisions of the Gramm-Leach-Bliley Act generally restrict the ability of financial institutions to transfer nonpublic personal information about consumers to nonaffiliated third parties... |
OCC Bulletin
March 29, 2000 |
Assessment of Fees for National Banks and District of Columbia Banks A proposed rule on assessment of fees would enable the OCC to capture better the costs of supervising national trust banks that are not affiliated with a full service national bank (independent trust banks)... |
OCC Bulletin
January 15, 2004 |
Reporting and Disclosure Requirements for National Banks with Securities The final rule, entitled "Reporting and Disclosure Requirements for National Banks With Securities Registered Under the Securities Exchange Act of 1934; Securities Offering Disclosure Rules," amends 12 CFR 11 and 12 CFR 16. |
OCC Bulletin
November 3, 2000 |
Risk-Based Capital--Simplified Framework for Non-Complex Institutions Currently, banks and thrifts are required to maintain minimum levels of risk-based capital under a framework established by the 1988 Capital Accord. The Agencies believe that the size, complexity, and risk profile of many banking institutions may warrant the application of a simplified capital framework. |
| OCC Bulletin |
Regulatory Capital---Asset-Backed Commercial Paper and Early Amortization The interim final rule and the notice of proposed rulemaking amend the risk-based capital standards for the treatment of assets in asset-backed commercial paper and certain securitizations with early amortization provisions. Comments on these rulemakings are requested. |
OCC Bulletin
September 14, 2001 |
Consumer Protections for Depository Institution Sales of Insurance These rules implement Section 305 of the Gramm-Leach-Bliley Act and apply to retail sales practices, solicitations, advertising, or offers of any insurance product or annuity by a depository institution... |
OCC Bulletin
November 15, 1999 |
Risk-Based Capital Interpretations Credit Derivatives A new issuance addresses the risk-based capital treatment of certain synthetic securitization transactions involving credit derivatives. The objective of these capital interpretations is to recognize the effective transference of the economic risk of loss in these transactions... |
OCC Bulletin
October 1, 2001 |
Uniform Standards for the Electronic Delivery of Disclosures; Regulations M, Z, B, E, and DD The Board has lifted the mandatory compliance date for these rules. National banks may continue to provide electronic disclosures under their existing policies and practices, or may follow the interim rules, until the Board issues permanent rules... |
OCC Bulletin
February 3, 2004 |
Amendment to Part 5 The Office of the Comptroller of the Currency (OCC) published the attached final rule in the Federal Register on January 2, 2004, amending its rules, policies, and procedures for corporate activities. The final rule adopts without change an interim rule that was published on April 14, 2003. |
OCC Bulletin
January 12, 2001 |
Consumer Protections for Depository Institutions Sales of Insurance Final rules establishing consumer protections for depository institution sales of insurance, implement Section 305 of the Gramm-Leach-Bliley Act and apply to retail sales practices, solicitations, advertising, or offers of any insurance product... |
OCC Bulletin
August 7, 2003 |
Bank Activities and Operations; and Real Estate Lending and Appraisals The Office of the Comptroller of the Currency (OCC) published the attached notice of proposed rulemaking (NPRM) in the Federal Register on August 5, 2003. The NPRM invites comments on proposed amendments to 12 CFR 7 and 34 of its regulations. |
OCC Bulletin
June 26, 2003 |
Securities Offering Disclosure Rules Reporting and disclosure requirements for National Banks with securities registered under the Securities Exchange Act of 1934 |
| OCC Bulletin |
Fair Credit Reporting Medical Information Regulations Section 411 of the Fair and Accurate Credit Transactions Act prohibits creditors from obtaining or using medical information pertaining to a consumer in connection with any determination of the consumer's eligibility, or continued eligibility, for credit. |
OCC Bulletin
July 15, 1999 |
Summary of the Basel Committee's Consultative Document: "A New Capital Adequacy Framework" The paper describes a framework for bank supervision and regulation that contains three "pillars" -- a regulatory capital minimum, an enhanced supervisory review process, and more effective use of market discipline through disclosure. |
OCC Bulletin
December 20, 2006 |
Revisions to 12 CFR 215 The Federal Reserve System has published amendments to 12 CFR 215 (Regulation O) in the Federal Register, removing certain reporting requirements regarding extensions of credit to bank insiders. |
OCC Bulletin
October 14, 2005 |
Real Estate Appraisal Exemptions in Major Disaster Areas The exceptions are available for transactions that involve real property in major disaster areas when the exceptions would facilitate recovery from the disaster. |
OCC Bulletin
May 19, 2004 |
Complex Structured Finance Transaction Notice of joint statement with request for public comment on the attached interagency statement concerning the complex structured finance activities of financial institutions. |
OCC Bulletin
December 22, 1999 |
Bank Activities and Operations, Investment Securities, Corporate Activities A new final rule updates and clarifies the OCC's regulations regarding Bank Activities and Operations (formerly, Interpretive Rulings), Investment Securities, and Rules, Policies, and Procedures for Corporate Activities... |
OCC Bulletin
May 17, 2002 |
Interagency Advisory Interagency advisory on the regulatory capital treatment of accrued interest receivable related to credit card securitizations... |
OCC Bulletin
February 13, 2003 |
Rules, Policies, and Procedures for Corporate Activities; Bank Activities and Operations; and Real Estate Lending and Appraisals The Office of the Comptroller of the Currency published the attached notice of proposed rulemaking in the Federal Register on February 7, 2003 (NPRM). The NPRM amends 12 CFR parts 3, 5, 6, 7, 9, 28, and 34 of its regulations. |
OCC Bulletin
December 12, 2001 |
Privacy of Consumer Financial Information The OCC has prepared a "Small Bank Compliance Guide" to help community banks comply with the rule implementing the privacy provisions of the Gramm-Leach-Bliley Act... |
OCC Bulletin
August 15, 2006 |
Assessment of Fees: Final Rule The attached final rule amends part 8 of the OCC's rules concerning the timing of payments of OCC assessments. The effective date of the final rule is August 24. |
OCC Bulletin
February 28, 2001 |
Bank-Provided Account Aggregation Services This bulletin discusses the risks of bank-provided account aggregation services, and suggests control mechanisms banks should consider when they offer aggregation services. |
OCC Bulletin
July 13, 2001 |
Investment Securities; Bank Activities and Operations; Leasing The final rule amends parts 1, 7, and 23 to address changing industry practices and recent statutory amendments... |
OCC Bulletin
May 22, 2002 |
Unsafe and Unsound Investment Portfolio Practices Description: Supplemental Guidance This bulletin alerts banks to the potential risk to future earnings and capital from poor investment decisions made at the current low level of interest rates... |
OCC Bulletin
February 5, 2002 |
Bank Secrecy Act/Anti-Money Laundering A proposed rule will affect correspondent accounts for foreign shell banks and recordkeeping and termination of correspondent accounts for foreign banks... |
OCC Bulletin
January 13, 2004 |
Fundamental Change in Asset Composition of a Bank Proposed rulemaking would require a national bank to obtain the approval of the OCC before one of two types of fundamental changes in the composition of the bank's assets occurs. |
OCC Bulletin
January 22, 2007 |
Community Reinvestment Act Two separate revisions are made to the CRA regulation in this rulemaking. |
OCC Bulletin
March 22, 2005 |
Appraisal Regulations and the Interagency Statement on Independent Appraisal and Evaluation Functions A joint-agency compiled list of frequently asked questions (FAQ) provides clarification, and reminds banks of the existing standards, concerning independence of the collateral valuation process. |
OCC Bulletin
March 11, 2002 |
Country Risk A recently issued statement describes the elements of an effective country risk management process. These principles will guide examiners when they evaluate the management of country risk in internationally active banks... |
FDIC FYI
October 11, 2005
Michael H. Krimminger |
FYI: An Update on Emerging Issues in Banking Adjusting the rules: What bankruptcy reform will mean for financial market contracts. |
OCC Bulletin
March 30, 2000 |
Financial Subsidiaries and Operating Subsidiaries A final rule adds a new regulation to implement the financial subsidiary provisions of the Gramm Leach Bliley Act, to provide a notice process for national banks making non-controlling investments... |
OCC Bulletin
January 4, 2002 |
Bank Secrecy Act/Anti-Money Laundering Interim Guidance on Compliance with the USA PATRIOT Act... |
OCC Bulletin
April 14, 2004 |
Annual Report on Operating Subsidiaries Notice of proposed rulemaking to amend 12 CFR Part 5.34, the Office of the Comptroller of the Currency's rule governing activities, application, or notice requirements for national banks engaging in activities through an operating subsidiary. |
OCC Bulletin
December 1, 2006 |
Notice of Comptroller of the Currency Fees All national banks and federal branches and agencies should be aware of changes in fees charged by the Office of the Comptroller of the Currency for the year 2007. These changes are effective January 1, 2007. |
OCC Bulletin
October 16, 2002 |
Bank Secrecy Act/Anti-Money Laundering Final Rule: Special Information-Sharing Procedures to Deter Money Laundering and Terrorist Activity |
OCC Bulletin
December 1, 2005 |
Notice of Comptroller of the Currency Fees for Year 2006 Several permanent changes to the assessment collection process will be implemented beginning with the assessment that normally would be due January 31, 2006. These changes are based on revisions to the assessment regulations recently adopted by the OCC |
CFO
September 1, 2012
Vincent Ryan |
Repos Come Under Fire Repos, or repurchase agreements, are a key source of short-term financing for Wall Street banks and other financial institutions, and they are under scrutiny once again for being fraught with risk. |
