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Electronic Code of Federal Regulations

e-CFR data is current as of May 22, 2020

Title 12Chapter IISubchapter APart 238


TITLE 12—Banks and Banking

CHAPTER II—FEDERAL RESERVE SYSTEM (CONTINUED)

SUBCHAPTER A—BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (CONTINUED)

PART 238—SAVINGS AND LOAN HOLDING COMPANIES (REGULATION LL)

rule

Subpart A—GENERAL PROVISIONS

§238.1
Authority, purpose and scope.
§238.2
Definitions.
§238.3
Administration.
§238.4
Records, reports, and inspections.
§238.5
Audit of savings association holding companies.
§238.6
Penalties for violations.
§238.7
Tying restriction exception.
§238.8
Safe and sound operations.
§238.9
Small Bank Holding Company Policy Statement.
§238.10
Categorization of banking organizations.
rule

Subpart B—ACQUISITIONS OF SAVING ASSOCIATION SECURITIES OR ASSETS

§238.11
Transactions requiring Board approval.
§238.12
Transactions not requiring Board approval.
§238.13
Prohibited acquisitions.
§238.14
Procedural requirements.
§238.15
Factors considered in acting on applications.
rule

Subpart C—CONTROL PROCEEDINGS

§238.21
Control proceedings.
rule

Subpart D—CHANGE IN BANK CONTROL

§238.31
Transactions requiring prior notice.
§238.32
Transactions not requiring prior notice.
§238.33
Procedures for filing, processing, publishing, and acting on notices.
rule

Subpart E—QUALIFIED STOCK ISSUANCES

§238.41
Qualified stock issuances by undercapitalized savings associations or holding companies.
rule

Subpart F—SAVINGS AND LOAN HOLDING COMPANY ACTIVITIES AND ACQUISITIONS

§238.51
Prohibited activities.
§238.52
Exempt savings and loan holding companies and grandfathered activities.
§238.53
Prescribed services and activities of savings and loan holding companies.
§238.54
Permissible bank holding company activities of savings and loan holding companies.
rule

Subpart G—FINANCIAL HOLDING COMPANY ACTIVITIES

§238.61
Scope.
§238.62
Definitions.
§238.63
Requirements to engage in financial holding company activities.
§238.64
Election required.
§238.65
Election procedures.
§238.66
Ongoing requirements.
rule

Subpart H—NOTICE OF CHANGE OF DIRECTOR OR SENIOR EXECUTIVE OFFICER

§238.71
Purpose.
§238.72
Definitions.
§238.73
Prior notice requirements.
§238.74
Filing and processing procedures.
§238.75
Standards for review.
§238.76
Waiting period.
§238.77
Waiver of prior notice requirement.
rule

Subpart I—PROHIBITED SERVICE AT SAVINGS AND LOAN HOLDING COMPANIES

§238.81
Purpose.
§238.82
Definitions.
§238.83
Prohibited actions.
§238.84
Covered convictions or agreements to enter into pre-trial diversions or similar programs.
§238.85
Adjudications and offenses not covered.
§238.86
Exemptions.
§238.87
Filing procedures.
§238.88
Factors for review.
§238.89
Board action.
§238.90
Hearings.
rule

Subpart J—MANAGEMENT OFFICIAL INTERLOCKS

§238.91
Authority, purpose, and scope.
§238.92
Definitions.
§238.93
Prohibitions.
§238.94
Interlocking relationships permitted by statute.
§238.95
Small market share exemption.
§238.96
General exemption.
§238.97
Change in circumstances.
§238.98
Enforcement.
§238.99
Interlocking relationships permitted pursuant to Federal Deposit Insurance Act.
rule

Subpart K—DIVIDENDS BY SUBSIDIARY SAVINGS ASSOCIATIONS

§238.101
Authority and purpose.
§238.102
Definitions.
§238.103
Filing requirement.
§238.104
Board action and criteria for review.
rule

Subpart L—INVESTIGATIVE PROCEEDINGS AND FORMAL EXAMINATION PROCEEDINGS

§238.111
Scope.
§238.112
Definitions.
§238.113
Confidentiality of proceedings.
§238.114
Transcripts.
§238.115
Rights of witnesses.
§238.116
Obstruction of proceedings.
§238.117
Subpoenas.
rule

Subpart M—RISK COMMITTEE REQUIREMENT FOR COVERED SAVINGS AND LOAN HOLDING COMPANIES WITH TOTAL CONSOLIDATED ASSETS OF $50 BILLION OR MORE AND LESS THAN $100 BILLION

§238.118
Applicability.
§238.119
Risk committee requirement for covered savings and loan holding companies with total consolidated assets of $50 billion or more.
rule

Subpart N—RISK COMMITTEE, LIQUIDITY RISK MANAGEMENT, AND LIQUIDITY BUFFER REQUIREMENTS FOR COVERED SAVINGS AND LOAN HOLDING COMPANIES WITH TOTAL CONSOLIDATED ASSETS OF $100 BILLION OR MORE

§238.120
Scope.
§238.121
Applicability.
§238.122
Risk-management and risk committee requirements.
§238.123
Liquidity risk-management requirements.
§238.124
Liquidity stress testing and buffer requirements.
rule

Subpart O—SUPERVISORY STRESS TEST REQUIREMENTS FOR COVERED SAVINGS AND LOAN HOLDING COMPANIES

§238.130
Definitions.
§238.131
Applicability.
§238.132
Analysis conducted by the Board.
§238.133
Data and information required to be submitted in support of the Board's analyses.
§238.134
Review of the Board's analysis; publication of summary results.
§238.135
Corporate use of stress test results.
rule

Subpart P—COMPANY-RUN STRESS TEST REQUIREMENTS FOR SAVINGS AND LOAN HOLDING COMPANIES

§238.140
Authority and purpose.
§238.141
Definitions.
§238.142
Applicability.
§238.143
Stress test.
§238.144
Methodologies and practices.
§238.145
Reports of stress test results.
§238.146
Disclosure of stress test results.
rule

Subpart Q—SINGLE COUNTERPARTY CREDIT LIMITS FOR COVERED SAVINGS AND LOAN HOLDING COMPANIES

§238.150
Applicability and general provisions.
§238.151
Definitions.
§238.152
Credit exposure limits.
§238.153
Gross credit exposure.
§238.154
Net credit exposure.
§238.155
Investments in and exposures to securitization vehicles, investment funds, and other special purpose vehicles that are not subsidiaries of the covered company.
§238.156
Aggregation of exposures to more than one counterparty due to economic interdependence or control relationships.
§238.157
Exemptions.
§238.158
Compliance.
rule

Subpart R—COMPANY-RUN STRESS TEST REQUIREMENTS FOR FOREIGN SAVINGS AND LOAN HOLDING COMPANIES WITH TOTAL CONSOLIDATED ASSETS OVER $250 BILLION

§238.160
Definitions.
§238.161
Applicability.
§238.162
Capital stress testing requirements.

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