12 C.F.R. PART 308--RULES OF PRACTICE AND PROCEDURE
TITLE 12--Banks and Banking
CHAPTER III--FEDERAL DEPOSIT INSURANCE CORPORATION
SUBCHAPTER A--PROCEDURE AND RULES OF PRACTICE
PART 308--RULES OF PRACTICE AND PROCEDURE
Subpart A--UNIFORM RULES OF PRACTICE AND PROCEDURE
|
|
| Authority of Board of Directors.
|
|
|
|
| Authority of the administrative law judge.
|
|
|
|
| Appearance and practice in adjudicatory proceedings.
|
|
|
|
| Good faith certification.
|
|
|
|
| Construction of time limits.
|
|
|
|
| Witness fees and expenses.
|
|
|
|
| Opportunity for informal settlement.
|
|
|
|
| FDIC's right to conduct examination.
|
|
|
|
| Collateral attacks on adjudicatory proceeding.
|
|
|
|
| Commencement of proceeding and contents of notice.
|
|
|
|
| Consolidation and severance of actions.
|
|
|
|
| Scope of document discovery.
|
|
|
|
| Request for document discovery from parties.
|
|
|
|
| Document subpoenas to nonparties.
|
|
|
|
| Deposition of witness unavailable for hearing.
|
|
|
|
| Partial summary disposition.
|
|
|
|
| Scheduling and prehearing conferences.
|
|
|
|
| Recommended decision and filing of record.
|
|
|
|
| Exceptions to recommended decision.
|
|
|
|
| Review by Board of Directors.
|
|
|
|
| Stays pending judicial review.
|
|
Subpart B--GENERAL RULES OF PROCEDURE
|
|
| Authority of Board of Directors and Executive Secretary.
|
|
|
|
| Appointment of administrative law judge.
|
|
|
|
| Filings with the Board of Directors.
|
|
|
|
| Written testimony in lieu of oral hearing.
|
|
Subpart C--RULES OF PRACTICE BEFORE THE FDIC AND STANDARDS OF CONDUCT
|
|
| Suspension and disbarment.
|
|
Subpart D--RULES AND PROCEDURES APPLICABLE TO PROCEEDINGS RELATING TO DISAPPROVAL OF ACQUISITION OF CONTROL
|
|
| Answer to notice of disapproval.
|
|
Subpart E--RULES AND PROCEDURES APPLICABLE TO PROCEEDINGS RELATING TO ASSESSMENT OF CIVIL PENALTIES FOR WILLFUL VIOLATIONS OF THE CHANGE IN BANK CONTROL ACT
|
|
| Effective date of, and payment under, an order to pay.
|
|
Subpart F--RULES AND PROCEDURES APPLICABLE TO PROCEEDINGS FOR INVOLUNTARY TERMINATION OF INSURED STATUS
|
|
| Grounds for termination of insurance.
|
|
|
|
| Notification to primary regulator.
|
|
|
|
| Notice of intent to terminate.
|
|
|
|
| Involuntary termination of insured status for failure to receive deposits.
|
|
|
|
| Temporary suspension of deposit insurance.
|
|
|
|
| Special supervisory associations.
|
|
Subpart G--RULES AND PROCEDURES APPLICABLE TO PROCEEDINGS RELATING TO CEASE-AND-DESIST ORDERS
|
|
| Grounds for cease-and-desist orders.
|
|
|
|
| Notice to state supervisory authority.
|
|
|
|
| Effective date of order and service on bank.
|
|
|
|
| Temporary cease-and-desist order.
|
|
Subpart H--RULES AND PROCEDURES APPLICABLE TO PROCEEDINGS RELATING TO ASSESSMENT AND COLLECTION OF CIVIL MONEY PENALTIES FOR VIOLATION OF CEASE-AND-DESIST ORDERS AND OF CERTAIN FEDERAL STATUTES, INCLUDING CALL REPORT PENALTIES
|
|
| Effective date of, and payment under, an order to pay.
|
|
Subpart I--RULES AND PROCEDURES FOR IMPOSITION OF SANCTIONS UPON MUNICIPAL SECURITIES DEALERS OR PERSONS ASSOCIATED WITH THEM AND CLEARING AGENCIES OR TRANSFER AGENTS
|
|
| Grounds for imposition of sanctions.
|
|
|
|
| Notice to and consultation with the Securities and Exchange Commission.
|
|
|
|
| Effective date of order imposing sanctions.
|
|
Subpart J--RULES AND PROCEDURES RELATING TO EXEMPTION PROCEEDINGS UNDER SECTION 12(H) OF THE SECURITIES EXCHANGE ACT OF 1934
|
|
| Application for exemption.
|
|
|
|
| Decision of Board of Directors.
|
|
Subpart K--PROCEDURES APPLICABLE TO INVESTIGATIONS PURSUANT TO SECTION 10(C) OF THE FDIA
|
|
| Conduct of investigation.
|
|
|
|
| Powers of person conducting investigation.
|
|
|
|
| Investigations confidential.
|
|
Subpart L--PROCEDURES AND STANDARDS APPLICABLE TO A NOTICE OF CHANGE IN SENIOR EXECUTIVE OFFICER OR DIRECTOR PURSUANT TO SECTION 32 OF THE FDIA
|
|
| Grounds for disapproval of notice.
|
|
|
|
| Procedures where notice of disapproval issues pursuant to 303.103(c) of this chapter.
|
|
Subpart M--PROCEDURES AND STANDARDS APPLICABLE TO AN APPLICATION PURSUANT TO SECTION 19 OF THE FDIA
|
|
| Filing papers and effective date.
|
|
Subpart N--RULES AND PROCEDURES APPLICABLE TO PROCEEDINGS RELATING TO SUSPENSION, REMOVAL, AND PROHIBITION WHERE A FELONY LS CHARGED
|
|
| Notice of suspension, and orders of removal or prohibition.
|
|
Subpart O--LIABILITY OF COMMONLY CONTROLLED DEPOSITORY INSTITUTIONS
|
|
| Grounds for assessment of liability.
|
|
|
|
| Notice of assessment of liability.
|
|
|
|
| Effective date of and payment under an order to pay.
|
|
Subpart P--RULES AND PROCEDURES RELATING TO THE RECOVERY OF ATTORNEY FEES AND OTHER EXPENSES
|
|
| Filing, content, and service of documents.
|
|
|
|
| Responses to application.
|
|
|
|
| Eligibility of applicants.
|
|
|
|
| Statement of fees and expenses.
|
|
|
|
| Board of Directors action.
|
|
Subpart Q--ISSUANCE AND REVIEW OF ORDERS PURSUANT TO THE PROMPT CORRECTIVE ACTION PROVISIONS OF THE FEDERAL DEPOSIT INSURANCE ACT
|
|
| Directives to take prompt corrective action.
|
|
|
|
| Procedures for reclassifying a bank based on criteria other than capital.
|
|
|
|
| Order to dismiss a director or senior executive officer.
|
|
|
|
| Enforcement of directives.
|
|
Subpart R--SUBMISSION AND REVIEW OF SAFETY AND SOUNDNESS COMPLIANCE PLANS AND ISSUANCE OF ORDERS TO CORRECT SAFETY AND SOUNDNESS DEFICIENCIES
|
|
| Determination and notification of failure to meet a safety and soundness standard and request for compliance plan.
|
|
|
|
| Filing of safety and soundness compliance plan.
|
|
|
|
| Issuance of orders to correct deficiencies and to take or refrain from taking other actions.
|
|
Subpart S--APPLICATIONS FOR A STAY OR REVIEW OF ACTIONS OF BANK CLEARING AGENCIES
|
|
| Applications for stays of disciplinary sanctions or summary suspensions by a bank clearing agency.
|
|
|
|
| Applications for review of final disciplinary sanctions, denials of participation, or prohibitions or limitations of access to services imposed by bank clearing agencies.
|
|
Subpart T--PROGRAM FRAUD CIVIL REMEDIES AND PROCEDURES
|
|
| Basis, purpose, and scope.
|
|
|
|
| Basis for civil penalties and assessments.
|
|
|
|
| Review by the reviewing official.
|
|
|
|
| Prerequisites for issuing a complaint.
|
|
|
|
| Default upon failure to file an answer.
|
|
|
|
| Referral of complaint and answer to the ALJ.
|
|
|
|
| Disqualification of reviewing official or ALJ.
|
|
|
|
| Exchange of witness lists, statements, and exhibits.
|
|
|
|
| Subpoenas for attendance at hearing.
|
|
|
|
| Form, filing, and service of papers.
|
|
|
|
| The hearing and burden of proof.
|
|
|
|
| Determining the amount of penalties and assessments.
|
|
|
|
| Reconsideration of initial decision.
|
|
|
|
| Appeal to the Board of Directors.
|
|
|
|
| Stays ordered by the Department of Justice.
|
|
|
|
| Collection of civil penalties and assessments.
|
|
|
|
| Right to administrative offset.
|
|
|
|
| Deposit in Treasury of United States.
|
|
|
|
| Compromise or settlement.
|
|
Subpart U--REMOVAL, SUSPENSION, AND DEBARMENT OF ACCOUNTANTS FROM PERFORMING AUDIT SERVICES
|
|
| Removal, suspension, or debarment.
|
|
|
|
| Automatic removal, suspension, and debarment.
|
|
|
|
| Notice of removal, suspension, or debarment.
|
|
|
|
| Application for reinstatement.
|
|
