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12 C.F.R. PART 19--RULES OF PRACTICE AND PROCEDURE

TITLE 12--Banks and Banking

CHAPTER I--COMPTROLLER OF THE CURRENCY, DEPARTMENT OF THE TREASURY

PART 19--RULES OF PRACTICE AND PROCEDURE

Subpart A--UNIFORM RULES OF PRACTICE AND PROCEDURE

�19.1

Scope.

�19.2

Rules of construction.

�19.3

Definitions.

�19.4

Authority of the Comptroller.

�19.5

Authority of the administrative law judge.

�19.6

Appearance and practice in adjudicatory proceedings.

�19.7

Good faith certification.

�19.8

Conflicts of interest.

�19.9

Ex parte communications.

�19.10

Filing of papers.

�19.11

Service of papers.

�19.12

Construction of time limits.

�19.13

Change of time limits.

�19.14

Witness fees and expenses.

�19.15

Opportunity for informal settlement.

�19.16

OCC's right to conduct examination.

�19.17

Collateral attacks on adjudicatory proceeding.

�19.18

Commencement of proceeding and contents of notice.

�19.19

Answer.

�19.20

Amended pleadings.

�19.21

Failure to appear.

�19.22

Consolidation and severance of actions.

�19.23

Motions.

�19.24

Scope of document discovery.

�19.25

Request for document discovery from parties.

�19.26

Document subpoenas to nonparties.

�19.27

Deposition of witness unavailable for hearing.

�19.28

Interlocutory review.

�19.29

Summary disposition.

�19.30

Partial summary disposition.

�19.31

Scheduling and prehearing conferences.

�19.32

Prehearing submissions.

�19.33

Public hearings.

�19.34

Hearing subpoenas.

�19.35

Conduct of hearings.

�19.36

Evidence.

�19.37

Post-hearing filings.

�19.38

Recommended decision and filing of record.

�19.39

Exceptions to recommended decision.

�19.40

Review by the Comptroller.

�19.41

Stays pending judicial review.

Subpart B--PROCEDURAL RULES FOR OCC ADJUDICATIONS

�19.100

Filing documents.

�19.101

Delegation to OFIA.

Subpart C--REMOVALS, SUSPENSIONS, AND PROHIBITIONS WHEN A CRIME IS CHARGED OR A CONVICTION IS OBTAINED

�19.110

Scope.

�19.111

Suspension, removal, or prohibition.

�19.112

Informal hearing.

�19.113

Recommended and final decisions.

Subpart D--EXEMPTION HEARINGS UNDER SECTION 12(H) OF THE SECURITIES EXCHANGE ACT OF 1934

�19.120

Scope.

�19.121

Application for exemption.

�19.122

Newspaper notice.

�19.123

Informal hearing.

�19.124

Decision of the Comptroller.

Subpart E--DISCIPLINARY PROCEEDINGS INVOLVING THE FEDERAL SECURITIES LAWS

�19.130

Scope.

�19.131

Notice of charges and answer.

�19.132

Disciplinary orders.

�19.135

Applications for stay or review of disciplinary actions imposed by registered clearing agencies.

Subpart F--CIVIL MONEY PENALTY AUTHORITY UNDER THE SECURITIES LAWS

�19.140

Scope.

Subpart G--CEASE-AND-DESIST AUTHORITY UNDER THE SECURITIES LAWS

�19.150

Scope.

Subpart H--CHANGE IN BANK CONTROL

�19.160

Scope.

�19.161

Notice of disapproval and hearing initiation.

Subpart I--DISCOVERY DEPOSITIONS AND SUBPOENAS

�19.170

Discovery depositions.

�19.171

Deposition subpoenas.

Subpart J--FORMAL INVESTIGATIONS

�19.180

Scope.

�19.181

Confidentiality of formal investigations.

�19.182

Order to conduct a formal investigation.

�19.183

Rights of witnesses.

�19.184

Service of subpoena and payment of witness expenses.

Subpart K--PARTIES AND REPRESENTATIONAL PRACTICE BEFORE THE OCC; STANDARDS OF CONDUCT

�19.190

Scope.

�19.191

Definitions.

�19.192

Sanctions relating to conduct in an adjudicatory proceeding.

�19.193

Censure, suspension or debarment.

�19.194

Eligibility of attorneys and accountants to practice.

�19.195

Incompetence.

�19.196

Disreputable conduct.

�19.197

Initiation of disciplinary proceeding.

�19.198

Conferences.

�19.199

Proceedings under this subpart.

�19.200

Effect of suspension, debarment or censure.

�19.201

Petition for reinstatement.

Subpart L--EQUAL ACCESS TO JUSTICE ACT

�19.210

Scope.

Subpart M--PROCEDURES FOR RECLASSIFYING A BANK BASED ON CRITERIA OTHER THAN CAPITAL

�19.220

Scope.

�19.221

Reclassification of a bank based on unsafe or unsound condition or practice.

�19.222

Request for rescission of reclassification.

Subpart N--ORDER TO DISMISS A DIRECTOR OR SENIOR EXECUTIVE OFFICER

�19.230

Scope.

�19.231

Order to dismiss a director or senior executive officer.

Subpart O--CIVIL MONEY PENALTY INFLATION ADJUSTMENTS

�19.240

Inflation adjustments.

Subpart P--REMOVAL, SUSPENSION, AND DEBARMENT OF ACCOUNTANTS FROM PERFORMING AUDIT SERVICES

�19.241

Scope.

�19.242

Definitions.

�19.243

Removal, suspension, or debarment.

�19.244

Automatic removal, suspension, and debarment.

�19.245

Notice of removal, suspension or debarment.

�19.246

Petition for reinstatement.