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Title 12
PART 150 SUBPART B
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Chapter I
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Part 150
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Subpart B
Subpart B - Exercising Fiduciary Powers
12 U.S.C. 1462a, 1463, 1464, 5412(b)(2)(B).
76 FR 49003, Aug. 9, 2011, unless otherwise noted.
12:1.0.1.1.65.2.39
SUBJGRP 39
Fiduciary Personnel and Facilities
12:1.0.1.1.65.2.39.1
SECTION 150.130
150.130 How may I conduct multi-state operations
12:1.0.1.1.65.2.39.2
SECTION 150.135
150.135 How do I determine which state's laws apply to my operations
12:1.0.1.1.65.2.39.3
SECTION 150.136
150.136 To what extent do state laws apply to my fiduciary operations
12:1.0.1.1.65.2.39.4
SECTION 150.140
150.140 Must I adopt and follow written policies and procedures in exercising fiduciary powers
12:1.0.1.1.65.2.39.5
SECTION 150.150
150.150 Who is responsible for the exercise of fiduciary powers
12:1.0.1.1.65.2.39.6
SECTION 150.160
150.160 What personnel and facilities may I use to perform fiduciary services
12:1.0.1.1.65.2.39.7
SECTION 150.170
150.170 May my other departments or affiliates use fiduciary personnel and facilities to perform other services
12:1.0.1.1.65.2.39.8
SECTION 150.180
150.180 May I perform fiduciary services for, or purchase fiduciary services from, another association or entity
12:1.0.1.1.65.2.39.9
SECTION 150.190
150.190 Must fiduciary officers and employees be bonded
12:1.0.1.1.65.2.40
SUBJGRP 40
Review of a Fiduciary Account
12:1.0.1.1.65.2.40.10
SECTION 150.200
150.200 Must I review a prospective account before I accept it
12:1.0.1.1.65.2.40.11
SECTION 150.210
150.210 Must I conduct another review of an account after I accept it
12:1.0.1.1.65.2.40.12
SECTION 150.220
150.220 Are any other account reviews required
12:1.0.1.1.65.2.41
SUBJGRP 41
Custody and Control of Assets
12:1.0.1.1.65.2.41.13
SECTION 150.230
150.230 Who must maintain custody or control of assets in a fiduciary account
12:1.0.1.1.65.2.41.14
SECTION 150.240
150.240 May I hold investments of a fiduciary account off-premises
12:1.0.1.1.65.2.41.15
SECTION 150.245
150.245 When is a fiduciary not required to maintain custody or control of fiduciary assets
12:1.0.1.1.65.2.41.16
SECTION 150.250
150.250 Must I keep fiduciary assets separate from other assets
12:1.0.1.1.65.2.42
SUBJGRP 42
Investing Funds of a Fiduciary Account
12:1.0.1.1.65.2.42.17
SECTION 150.260
150.260 How may I invest funds of a fiduciary account
12:1.0.1.1.65.2.43
SUBJGRP 43
Funds Awaiting Investment or Distribution
12:1.0.1.1.65.2.43.18
SECTION 150.290
150.290 What must I do with fiduciary funds awaiting investment or distribution
12:1.0.1.1.65.2.43.19
SECTION 150.300
150.300 Where may I deposit fiduciary funds awaiting investment or distribution
12:1.0.1.1.65.2.43.20
SECTION 150.310
150.310 What if the FDIC does not insure the deposits
12:1.0.1.1.65.2.43.21
SECTION 150.320
150.320 What is acceptable collateral for uninsured deposits
12:1.0.1.1.65.2.44
SUBJGRP 44
Restrictions on Self Dealing
12:1.0.1.1.65.2.44.22
SECTION 150.330
150.330 Are there investments in which I may not invest funds of a fiduciary account
12:1.0.1.1.65.2.44.23
SECTION 150.340
150.340 May I exercise rights to purchase additional stock or fractional shares of my stock or obligations or the stock or obligations of my affiliates
12:1.0.1.1.65.2.44.24
SECTION 150.350
150.350 May I lend, sell, or transfer assets of a fiduciary account if I have an interest in the transaction
12:1.0.1.1.65.2.44.25
SECTION 150.360
150.360 May I make a loan to a fiduciary account that is secured by an interest in the assets of the account
12:1.0.1.1.65.2.44.26
SECTION 150.370
150.370 May I sell assets or lend money between fiduciary accounts
12:1.0.1.1.65.2.45
SUBJGRP 45
Compensation, Gifts, and Bequests
12:1.0.1.1.65.2.45.27
SECTION 150.380
150.380 May I earn compensation for acting in a fiduciary capacity
12:1.0.1.1.65.2.45.28
SECTION 150.390
150.390 May my officer or employee retain compensation for acting as a co-fiduciary
12:1.0.1.1.65.2.45.29
SECTION 150.400
150.400 May my fiduciary officer or employee accept a gift or bequest
12:1.0.1.1.65.2.46
SUBJGRP 46
Recordkeeping Requirements
12:1.0.1.1.65.2.46.30
SECTION 150.410
150.410 What records must I keep
12:1.0.1.1.65.2.46.31
SECTION 150.420
150.420 How long must I keep these records
12:1.0.1.1.65.2.46.32
SECTION 150.430
150.430 Must I keep fiduciary records separate and distinct from other records
12:1.0.1.1.65.2.47
SUBJGRP 47
Audit Requirements
12:1.0.1.1.65.2.47.33
SECTION 150.440
150.440 When do I have to audit my fiduciary activities
12:1.0.1.1.65.2.47.34
SECTION 150.450
150.450 What standards govern the conduct of the audit
12:1.0.1.1.65.2.47.35
SECTION 150.460
150.460 Who may conduct an audit
12:1.0.1.1.65.2.47.36
SECTION 150.470
150.470 Who directs the conduct of the audit
12:1.0.1.1.65.2.47.37
SECTION 150.480
150.480 How do I report the results of the audit