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Electronic Code of Federal Regulations

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e-CFR Data is current as of July 24, 2014

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

rule

Subpart A—UNIFORM RULES OF PRACTICE AND PROCEDURE

§308.1
Scope.
§308.2
Rules of construction.
§308.3
Definitions.
§308.4
Authority of Board of Directors.
§308.5
Authority of the administrative law judge.
§308.6
Appearance and practice in adjudicatory proceedings.
§308.7
Good faith certification.
§308.8
Conflicts of interest.
§308.9
Ex parte communications.
§308.10
Filing of papers.
§308.11
Service of papers.
§308.12
Construction of time limits.
§308.13
Change of time limits.
§308.14
Witness fees and expenses.
§308.15
Opportunity for informal settlement.
§308.16
FDIC's right to conduct examination.
§308.17
Collateral attacks on adjudicatory proceeding.
§308.18
Commencement of proceeding and contents of notice.
§308.19
Answer.
§308.20
Amended pleadings.
§308.21
Failure to appear.
§308.22
Consolidation and severance of actions.
§308.23
Motions.
§308.24
Scope of document discovery.
§308.25
Request for document discovery from parties.
§308.26
Document subpoenas to nonparties.
§308.27
Deposition of witness unavailable for hearing.
§308.28
Interlocutory review.
§308.29
Summary disposition.
§308.30
Partial summary disposition.
§308.31
Scheduling and prehearing conferences.
§308.32
Prehearing submissions.
§308.33
Public hearings.
§308.34
Hearing subpoenas.
§308.35
Conduct of hearings.
§308.36
Evidence.
§308.37
Post-hearing filings.
§308.38
Recommended decision and filing of record.
§308.39
Exceptions to recommended decision.
§308.40
Review by Board of Directors.
§308.41
Stays pending judicial review.
rule

Subpart B—GENERAL RULES OF PROCEDURE

§308.101
Scope of Local Rules.
§308.102
Authority of Board of Directors and Executive Secretary.
§308.103
Appointment of administrative law judge.
§308.104
Filings with the Board of Directors.
§308.105
Custodian of the record.
§308.106
Written testimony in lieu of oral hearing.
§308.107
Document discovery.
rule

Subpart C—RULES OF PRACTICE BEFORE THE FDIC AND STANDARDS OF CONDUCT

§308.108
Sanctions.
§308.109
Suspension and disbarment.
rule

Subpart D—RULES AND PROCEDURES APPLICABLE TO PROCEEDINGS RELATING TO DISAPPROVAL OF ACQUISITION OF CONTROL

§308.110
Scope.
§308.111
Grounds for disapproval.
§308.112
Notice of disapproval.
§308.113
Answer to notice of disapproval.
§308.114
Burden of proof.
rule

Subpart E—RULES AND PROCEDURES APPLICABLE TO PROCEEDINGS RELATING TO ASSESSMENT OF CIVIL PENALTIES FOR WILLFUL VIOLATIONS OF THE CHANGE IN BANK CONTROL ACT

§308.115
Scope.
§308.116
Assessment of penalties.
§308.117
Effective date of, and payment under, an order to pay.
§308.118
Collection of penalties.
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Subpart F—RULES AND PROCEDURES APPLICABLE TO PROCEEDINGS FOR INVOLUNTARY TERMINATION OF INSURED STATUS

§308.119
Scope.
§308.120
Grounds for termination of insurance.
§308.121
Notification to primary regulator.
§308.122
Notice of intent to terminate.
§308.123
Notice to depositors.
§308.124
Involuntary termination of insured status for failure to receive deposits.
§308.125
Temporary suspension of deposit insurance.
§308.126
Special supervisory associations.
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Subpart G—RULES AND PROCEDURES APPLICABLE TO PROCEEDINGS RELATING TO CEASE-AND-DESIST ORDERS

§308.127
Scope.
§308.128
Grounds for cease-and-desist orders.
§308.129
Notice to state supervisory authority.
§308.130
Effective date of order and service on bank.
§308.131
Temporary cease-and-desist order.
rule

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

§308.132
Assessment of penalties.
§308.133
Effective date of, and payment under, an order to pay.
rule

Subpart I—RULES AND PROCEDURES FOR IMPOSITION OF SANCTIONS UPON MUNICIPAL SECURITIES DEALERS OR PERSONS ASSOCIATED WITH THEM AND CLEARING AGENCIES OR TRANSFER AGENTS

§308.134
Scope.
§308.135
Grounds for imposition of sanctions.
§308.136
Notice to and consultation with the Securities and Exchange Commission.
§308.137
Effective date of order imposing sanctions.
rule

Subpart J—RULES AND PROCEDURES RELATING TO EXEMPTION PROCEEDINGS UNDER SECTION 12(H) OF THE SECURITIES EXCHANGE ACT OF 1934

§308.138
Scope.
§308.139
Application for exemption.
§308.140
Newspaper notice.
§308.141
Notice of hearing.
§308.142
Hearing.
§308.143
Decision of Board of Directors.
rule

Subpart K—PROCEDURES APPLICABLE TO INVESTIGATIONS PURSUANT TO SECTION 10(C) OF THE FDIA

§308.144
Scope.
§308.145
Conduct of investigation.
§308.146
Powers of person conducting investigation.
§308.147
Investigations confidential.
§308.148
Rights of witnesses.
§308.149
Service of subpoena.
§308.150
Transcripts.
rule

Subpart L—PROCEDURES AND STANDARDS APPLICABLE TO A NOTICE OF CHANGE IN SENIOR EXECUTIVE OFFICER OR DIRECTOR PURSUANT TO SECTION 32 OF THE FDIA

§308.151
Scope.
§308.152
Grounds for disapproval of notice.
§308.153
Procedures where notice of disapproval issues pursuant to §303.103(c) of this chapter.
§308.154
Decision on review.
§308.155
Hearing.
rule

Subpart M—PROCEDURES AND STANDARDS APPLICABLE TO AN APPLICATION PURSUANT TO SECTION 19 OF THE FDIA

§308.156
Scope.
§308.157
Relevant considerations.
§308.158
Filing papers and effective date.
§308.159
Denial of applications.
§308.160
Hearings.
rule

Subpart N—RULES AND PROCEDURES APPLICABLE TO PROCEEDINGS RELATING TO SUSPENSION, REMOVAL, AND PROHIBITION WHERE A FELONY LS CHARGED

§308.161
Scope.
§308.162
Relevant considerations.
§308.163
Notice of suspension or prohibition, and orders of removal or prohibition.
§308.164
Hearings.
rule

Subpart O—LIABILITY OF COMMONLY CONTROLLED DEPOSITORY INSTITUTIONS

§308.165
Scope.
§308.166
Grounds for assessment of liability.
§308.167
Notice of assessment of liability.
§308.168
Effective date of and payment under an order to pay.
rule

Subpart P—RULES AND PROCEDURES RELATING TO THE RECOVERY OF ATTORNEY FEES AND OTHER EXPENSES

§308.169
Scope.
§308.170
Filing, content, and service of documents.
§308.171
Responses to application.
§308.172
Eligibility of applicants.
§308.173
Prevailing party.
§308.174
Standards for awards.
§308.175
Measure of awards.
§308.176
Application for awards.
§308.177
Statement of net worth.
§308.178
Statement of fees and expenses.
§308.179
Settlement negotiations.
§308.180
Further proceedings.
§308.181
Recommended decision.
§308.182
Board of Directors action.
§308.183
Payment of awards.
rule

Subpart Q—ISSUANCE AND REVIEW OF ORDERS PURSUANT TO THE PROMPT CORRECTIVE ACTION PROVISIONS OF THE FEDERAL DEPOSIT INSURANCE ACT

§308.200
Scope.
§308.201
Directives to take prompt corrective action.
§308.202
Procedures for reclassifying a bank based on criteria other than capital.
§308.203
Order to dismiss a director or senior executive officer.
§308.204
Enforcement of directives.
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Subpart R—SUBMISSION AND REVIEW OF SAFETY AND SOUNDNESS COMPLIANCE PLANS AND ISSUANCE OF ORDERS TO CORRECT SAFETY AND SOUNDNESS DEFICIENCIES

§308.300
Scope.
§308.301
Purpose.
§308.302
Determination and notification of failure to meet a safety and soundness standard and request for compliance plan.
§308.303
Filing of safety and soundness compliance plan.
§308.304
Issuance of orders to correct deficiencies and to take or refrain from taking other actions.
§308.305
Enforcement of orders.
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Subpart S—APPLICATIONS FOR A STAY OR REVIEW OF ACTIONS OF BANK CLEARING AGENCIES

§308.400
Scope.
§308.401
Applications for stays of disciplinary sanctions or summary suspensions by a bank clearing agency.
§308.402
Applications for review of final disciplinary sanctions, denials of participation, or prohibitions or limitations of access to services imposed by bank clearing agencies.
rule

Subpart T—PROGRAM FRAUD CIVIL REMEDIES AND PROCEDURES

§308.500
Basis, purpose, and scope.
§308.501
Definitions.
§308.502
Basis for civil penalties and assessments.
§308.503
Investigations.
§308.504
Review by the reviewing official.
§308.505
Prerequisites for issuing a complaint.
§308.506
Complaint.
§308.507
Service of complaint.
§308.508
Answer.
§308.509
Default upon failure to file an answer.
§308.510
Referral of complaint and answer to the ALJ.
§308.511
Notice of hearing.
§308.512
Parties to the hearing.
§308.513
Separation of functions.
§308.514
Ex parte contacts.
§308.515
Disqualification of reviewing official or ALJ.
§308.516
Rights of parties.
§308.517
Authority of the ALJ.
§308.518
Prehearing conferences.
§308.519
Disclosure of documents.
§308.520
Discovery.
§308.521
Exchange of witness lists, statements, and exhibits.
§308.522
Subpoenas for attendance at hearing.
§308.523
Protective order.
§308.524
Witness fees.
§308.525
Form, filing, and service of papers.
§308.526
Computation of time.
§308.527
Motions.
§308.528
Sanctions.
§308.529
The hearing and burden of proof.
§308.530
Determining the amount of penalties and assessments.
§308.531
Location of hearing.
§308.532
Witnesses.
§308.533
Evidence.
§308.534
The record.
§308.535
Post-hearing briefs.
§308.536
Initial decision.
§308.537
Reconsideration of initial decision.
§308.538
Appeal to the Board of Directors.
§308.539
Stays ordered by the Department of Justice.
§308.540
Stay pending appeal.
§308.541
Judicial review.
§308.542
Collection of civil penalties and assessments.
§308.543
Right to administrative offset.
§308.544
Deposit in Treasury of United States.
§308.545
Compromise or settlement.
§308.546
Limitations.
rule

Subpart U—REMOVAL, SUSPENSION, AND DEBARMENT OF ACCOUNTANTS FROM PERFORMING AUDIT SERVICES

§308.600
Scope.
§308.601
Definitions.
§308.602
Removal, suspension, or debarment.
§308.603
Automatic removal, suspension, and debarment.
§308.604
Notice of removal, suspension, or debarment.
§308.605
Application for reinstatement.


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