Title 12

PART 238

Part 238 - Savings And Loan Holding Companies (regulation Ll)

PART 238 - SAVINGS AND LOAN HOLDING COMPANIES (REGULATION LL) Authority:5 U.S.C. 552, 559; 12 U.S.C. 1462, 1462a, 1463, 1464, 1467, 1467a, 1468, 5365; 1813, 1817, 1829e, 1831i, 1972, 15 U.S.C. 78 l. Source:Reg. LL, 76 FR 56532, Sept. 13, 2011, unless otherwise noted.

12:4.0.1.1.8.1SUBPART A
Subpart A - General Provisions
12:4.0.1.1.8.1.1.1SECTION 238.1
   238.1 Authority, purpose and scope.
12:4.0.1.1.8.1.1.2SECTION 238.2
   238.2 Definitions.
12:4.0.1.1.8.1.1.3SECTION 238.3
   238.3 Administration.
12:4.0.1.1.8.1.1.4SECTION 238.4
   238.4 Records, reports, and inspections.
12:4.0.1.1.8.1.1.5SECTION 238.5
   238.5 Audit of savings association holding companies.
12:4.0.1.1.8.1.1.6SECTION 238.6
   238.6 Penalties for violations.
12:4.0.1.1.8.1.1.7SECTION 238.7
   238.7 Tying restriction exception.
12:4.0.1.1.8.1.1.8SECTION 238.8
   238.8 Safe and sound operations, and Small Bank Holding Company Policy Statement.
12:4.0.1.1.8.1.1.9SECTION 238.9
   238.9 Control over securities.
12:4.0.1.1.8.1.1.10SECTION 238.10
   238.10 Categorization of banking organizations.
12:4.0.1.1.8.2SUBPART B
Subpart B - Acquisitions of Saving Association Securities or Assets
12:4.0.1.1.8.2.1.1SECTION 238.11
   238.11 Transactions requiring Board approval.
12:4.0.1.1.8.2.1.2SECTION 238.12
   238.12 Transactions not requiring Board approval.
12:4.0.1.1.8.2.1.3SECTION 238.13
   238.13 Prohibited acquisitions.
12:4.0.1.1.8.2.1.4SECTION 238.14
   238.14 Procedural requirements.
12:4.0.1.1.8.2.1.5SECTION 238.15
   238.15 Factors considered in acting on applications.
12:4.0.1.1.8.3SUBPART C
Subpart C - Control Proceedings
12:4.0.1.1.8.3.1.1SECTION 238.21
   238.21 Control proceedings.
12:4.0.1.1.8.3.1.2SECTION 238.22
   238.22 Rebuttable presumptions of control of a company.
12:4.0.1.1.8.3.1.3SECTION 238.23
   238.23 Rebuttable presumption of noncontrol of a company.
12:4.0.1.1.8.4SUBPART D
Subpart D - Change in Bank Control
12:4.0.1.1.8.4.1.1SECTION 238.31
   238.31 Transactions requiring prior notice.
12:4.0.1.1.8.4.1.2SECTION 238.32
   238.32 Transactions not requiring prior notice.
12:4.0.1.1.8.4.1.3SECTION 238.33
   238.33 Procedures for filing, processing, publishing, and acting on notices.
12:4.0.1.1.8.5SUBPART E
Subpart E - Qualified Stock Issuances
12:4.0.1.1.8.5.1.1SECTION 238.41
   238.41 Qualified stock issuances by undercapitalized savings associations or holding companies.
12:4.0.1.1.8.6SUBPART F
Subpart F - Savings and Loan Holding Company Activities and Acquisitions
12:4.0.1.1.8.6.1.1SECTION 238.51
   238.51 Prohibited activities.
12:4.0.1.1.8.6.1.2SECTION 238.52
   238.52 Exempt savings and loan holding companies and grandfathered activities.
12:4.0.1.1.8.6.1.3SECTION 238.53
   238.53 Prescribed services and activities of savings and loan holding companies.
12:4.0.1.1.8.6.1.4SECTION 238.54
   238.54 Permissible bank holding company activities of savings and loan holding companies.
12:4.0.1.1.8.7SUBPART G
Subpart G - Financial Holding Company Activities
12:4.0.1.1.8.7.1.1SECTION 238.61
   238.61 Scope.
12:4.0.1.1.8.7.1.2SECTION 238.62
   238.62 Definitions.
12:4.0.1.1.8.7.1.3SECTION 238.63
   238.63 Requirements to engage in financial holding company activities.
12:4.0.1.1.8.7.1.4SECTION 238.64
   238.64 Election required.
12:4.0.1.1.8.7.1.5SECTION 238.65
   238.65 Election procedures.
12:4.0.1.1.8.7.1.6SECTION 238.66
   238.66 Ongoing requirements.
12:4.0.1.1.8.8SUBPART H
Subpart H - Notice of Change of Director or Senior Executive Officer
12:4.0.1.1.8.8.1.1SECTION 238.71
   238.71 Purpose.
12:4.0.1.1.8.8.1.2SECTION 238.72
   238.72 Definitions.
12:4.0.1.1.8.8.1.3SECTION 238.73
   238.73 Prior notice requirements.
12:4.0.1.1.8.8.1.4SECTION 238.74
   238.74 Filing and processing procedures.
12:4.0.1.1.8.8.1.5SECTION 238.75
   238.75 Standards for review.
12:4.0.1.1.8.8.1.6SECTION 238.76
   238.76 Waiting period.
12:4.0.1.1.8.8.1.7SECTION 238.77
   238.77 Waiver of prior notice requirement.
12:4.0.1.1.8.9SUBPART I
Subpart I - Prohibited Service at Savings and Loan Holding Companies
12:4.0.1.1.8.9.1.1SECTION 238.81
   238.81 Purpose.
12:4.0.1.1.8.9.1.2SECTION 238.82
   238.82 Definitions.
12:4.0.1.1.8.9.1.3SECTION 238.83
   238.83 Prohibited actions.
12:4.0.1.1.8.9.1.4SECTION 238.84
   238.84 Covered convictions or agreements to enter into pre-trial diversions or similar programs.
12:4.0.1.1.8.9.1.5SECTION 238.85
   238.85 Adjudications and offenses not covered.
12:4.0.1.1.8.9.1.6SECTION 238.86
   238.86 Exemptions.
12:4.0.1.1.8.9.1.7SECTION 238.87
   238.87 Filing procedures.
12:4.0.1.1.8.9.1.8SECTION 238.88
   238.88 Factors for review.
12:4.0.1.1.8.9.1.9SECTION 238.89
   238.89 Board action.
12:4.0.1.1.8.9.1.10SECTION 238.90
   238.90 Hearings.
12:4.0.1.1.8.10SUBPART J
Subpart J - Management Official Interlocks
12:4.0.1.1.8.10.1.1SECTION 238.91
   238.91 Authority, purpose, and scope.
12:4.0.1.1.8.10.1.2SECTION 238.92
   238.92 Definitions.
12:4.0.1.1.8.10.1.3SECTION 238.93
   238.93 Prohibitions.
12:4.0.1.1.8.10.1.4SECTION 238.94
   238.94 Interlocking relationships permitted by statute.
12:4.0.1.1.8.10.1.5SECTION 238.95
   238.95 Small market share exemption.
12:4.0.1.1.8.10.1.6SECTION 238.96
   238.96 General exemption.
12:4.0.1.1.8.10.1.7SECTION 238.97
   238.97 Change in circumstances.
12:4.0.1.1.8.10.1.8SECTION 238.98
   238.98 Enforcement.
12:4.0.1.1.8.10.1.9SECTION 238.99
   238.99 Interlocking relationships permitted pursuant to Federal Deposit Insurance Act.
12:4.0.1.1.8.11SUBPART K
Subpart K - Dividends by Subsidiary Savings Associations
12:4.0.1.1.8.11.1.1SECTION 238.101
   238.101 Authority and purpose.
12:4.0.1.1.8.11.1.2SECTION 238.102
   238.102 Definitions.
12:4.0.1.1.8.11.1.3SECTION 238.103
   238.103 Filing requirement.
12:4.0.1.1.8.11.1.4SECTION 238.104
   238.104 Board action and criteria for review.
12:4.0.1.1.8.12SUBPART L
Subpart L - Investigative Proceedings and Formal Examination Proceedings
12:4.0.1.1.8.12.1.1SECTION 238.111
   238.111 Scope.
12:4.0.1.1.8.12.1.2SECTION 238.112
   238.112 Definitions.
12:4.0.1.1.8.12.1.3SECTION 238.113
   238.113 Confidentiality of proceedings.
12:4.0.1.1.8.12.1.4SECTION 238.114
   238.114 Transcripts.
12:4.0.1.1.8.12.1.5SECTION 238.115
   238.115 Rights of witnesses.
12:4.0.1.1.8.12.1.6SECTION 238.116
   238.116 Obstruction of proceedings.
12:4.0.1.1.8.12.1.7SECTION 238.117
   238.117 Subpoenas.
12:4.0.1.1.8.13SUBPART M
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
12:4.0.1.1.8.13.1.1SECTION 238.118
   238.118 Applicability.
12:4.0.1.1.8.13.1.2SECTION 238.119
   238.119 Risk committee requirement for covered savings and loan holding companies with total consolidated assets of $50 billion or more.
12:4.0.1.1.8.14SUBPART N
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
12:4.0.1.1.8.14.1.1SECTION 238.120
   238.120 Scope.
12:4.0.1.1.8.14.1.2SECTION 238.121
   238.121 Applicability.
12:4.0.1.1.8.14.1.3SECTION 238.122
   238.122 Risk-management and risk committee requirements.
12:4.0.1.1.8.14.1.4SECTION 238.123
   238.123 Liquidity risk-management requirements.
12:4.0.1.1.8.14.1.5SECTION 238.124
   238.124 Liquidity stress testing and buffer requirements.
12:4.0.1.1.8.15SUBPART O
Subpart O - Supervisory Stress Test Requirements for Covered Savings and Loan Holding Companies
12:4.0.1.1.8.15.1.1SECTION 238.130
   238.130 Definitions.
12:4.0.1.1.8.15.1.2SECTION 238.131
   238.131 Applicability.
12:4.0.1.1.8.15.1.3SECTION 238.132
   238.132 Analysis conducted by the Board.
12:4.0.1.1.8.15.1.4SECTION 238.133
   238.133 Data and information required to be submitted in support of the Board's analyses.
12:4.0.1.1.8.15.1.5SECTION 238.134
   238.134 Review of the Board's analysis; publication of summary results.
12:4.0.1.1.8.15.1.6SECTION 238.135
   238.135 Corporate use of stress test results.
12:4.0.1.1.8.16SUBPART P
Subpart P - Company-Run Stress Test Requirements for Savings and Loan Holding Companies
12:4.0.1.1.8.16.1.1SECTION 238.140
   238.140 Authority and purpose.
12:4.0.1.1.8.16.1.2SECTION 238.141
   238.141 Definitions.
12:4.0.1.1.8.16.1.3SECTION 238.142
   238.142 Applicability.
12:4.0.1.1.8.16.1.4SECTION 238.143
   238.143 Stress test.
12:4.0.1.1.8.16.1.5SECTION 238.144
   238.144 Methodologies and practices.
12:4.0.1.1.8.16.1.6SECTION 238.145
   238.145 Reports of stress test results.
12:4.0.1.1.8.16.1.7SECTION 238.146
   238.146 Disclosure of stress test results.
12:4.0.1.1.8.17SUBPART Q
Subpart Q - Single Counterparty Credit Limits for Covered Savings and Loan Holding Companies
12:4.0.1.1.8.17.1.1SECTION 238.150
   238.150 Applicability and general provisions.
12:4.0.1.1.8.17.1.2SECTION 238.151
   238.151 Definitions.
12:4.0.1.1.8.17.1.3SECTION 238.152
   238.152 Credit exposure limits.
12:4.0.1.1.8.17.1.4SECTION 238.153
   238.153 Gross credit exposure.
12:4.0.1.1.8.17.1.5SECTION 238.154
   238.154 Net credit exposure.
12:4.0.1.1.8.17.1.6SECTION 238.155
   238.155 Investments in and exposures to securitization vehicles, investment funds, and other special purpose vehicles that are not subsidiaries of the covered company.
12:4.0.1.1.8.17.1.7SECTION 238.156
   238.156 Aggregation of exposures to more than one counterparty due to economic interdependence or control relationships.
12:4.0.1.1.8.17.1.8SECTION 238.157
   238.157 Exemptions.
12:4.0.1.1.8.17.1.9SECTION 238.158
   238.158 Compliance.
12:4.0.1.1.8.18SUBPART R
Subpart R - Company-Run Stress Test Requirements for Foreign Savings and Loan Holding Companies With Total Consolidated Assets Over $250 Billion
12:4.0.1.1.8.18.1.1SECTION 238.160
   238.160 Definitions.
12:4.0.1.1.8.18.1.2SECTION 238.161
   238.161 Applicability.
12:4.0.1.1.8.18.1.3SECTION 238.162
   238.162 Capital stress testing requirements.
12:4.0.1.1.8.19SUBPART S
Subpart S - XXX