12 CFR - Code of Federal Regulations - Title 12: Banks and Banking


Updated to: January 01, 2011





Table of Contents

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

PART 1: INVESTMENT SECURITIES


12 CFR 1.1 - Authority, purpose, scope, and reservation of authority.

12 CFR 1.100 - Indirect general obligations.

12 CFR 1.110 - Taxing powers of a State or political subdivision.

12 CFR 1.120 - Prerefunded or escrowed bonds and obligations secured by Type I securities.

12 CFR 1.130 - Type II securities; guidelines for obligations issued for university and housing purposes.

12 CFR 1.2 - Definitions.

12 CFR 1.3 - Limitations on dealing in, underwriting, and purchase and sale of securities.

12 CFR 1.4 - Calculation of limits.

12 CFR 1.5 - Safe and sound banking practices; credit information required.

12 CFR 1.6 - Convertible securities.

12 CFR 1.7 - Securities held in satisfaction of debts previously contracted; holding period; disposal; accounting treatment; non-speculative purpose.

12 CFR 1.8 - Nonconforming investments.

PART 10: MUNICIPAL SECURITIES DEALERS


12 CFR 10.1 - Scope.

12 CFR 10.2 - Filing requirements.

PART 11: SECURITIES EXCHANGE ACT DISCLOSURE RULES


12 CFR 11.1 - Authority and OMB control number.

12 CFR 11.2 - Reporting requirements for registered national banks.

12 CFR 11.3 - Filing requirements and inspection of documents.

12 CFR 11.4 - Filing fees.

PART 12: RECORDKEEPING AND CONFIRMATION REQUIREMENTS FOR SECURITIES TRANSACTIONS


12 CFR 12.1 - Authority, purpose, and scope.

12 CFR 12.101 - National bank disclosure of remuneration for mutual fund transactions.

12 CFR 12.102 - National bank use of electronic communications as customer notifications.

12 CFR 12.2 - Definitions.

12 CFR 12.3 - Recordkeeping.

12 CFR 12.4 - Content and time of notification.

12 CFR 12.5 - Notification by agreement; alternative forms and times of notification.

12 CFR 12.6 - Fees.

12 CFR 12.7 - Securities trading policies and procedures.

12 CFR 12.8 - Waivers.

12 CFR 12.9 - Settlement of securities transactions.

PART 13: GOVERNMENT SECURITIES SALES PRACTICES


12 CFR 13.1 - Scope.

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