Title 12

PART 308

Part 308 - Rules Of Practice And Procedure

PART 308 - RULES OF PRACTICE AND PROCEDURE Authority:5 U.S.C. 504, 554-557; 12 U.S.C. 93(b), 164, 505, 1464, 1467(d), 1467a, 1468, 1815(e), 1817, 1818, 1819, 1820, 1828, 1829, 1829(b), 1831i, 1831m(g)(4), 1831o, 1831p-1, 1832(c), 1884(b), 1972, 3102, 3108(a), 3349, 3909, 4717, 5412(b)(2)(C), 5414(b)(3); 15 U.S.C. 78(h) and (i), 78o(c)(4), 78o-4(c), 78o-5, 78q-1, 78s, 78u, 78u-2, 78u-3, 78w, 6801(b), 6805(b)(1); 28 U.S.C. 2461 note; 31 U.S.C. 330, 5321; 42 U.S.C. 4012a; Pub. L. 104-134, sec. 31001(s), 110 Stat. 1321; Pub. L. 109-351, 120 Stat. 1966; Pub. L. 111-203, 124 Stat. 1376; Pub. L. 114-74, sec. 701, 129 Stat. 584. Source:56 FR 37975, Aug. 9, 1991, unless otherwise noted.

12:5.0.1.1.6.1SUBPART A
Subpart A - Uniform Rules of Practice and Procedure
12:5.0.1.1.6.1.1.1SECTION 308.1
   308.1 Scope.
12:5.0.1.1.6.1.1.2SECTION 308.2
   308.2 Rules of construction.
12:5.0.1.1.6.1.1.3SECTION 308.3
   308.3 Definitions.
12:5.0.1.1.6.1.1.4SECTION 308.4
   308.4 Authority of Board of Directors.
12:5.0.1.1.6.1.1.5SECTION 308.5
   308.5 Authority of the administrative law judge.
12:5.0.1.1.6.1.1.6SECTION 308.6
   308.6 Appearance and practice in adjudicatory proceedings.
12:5.0.1.1.6.1.1.7SECTION 308.7
   308.7 Good faith certification.
12:5.0.1.1.6.1.1.8SECTION 308.8
   308.8 Conflicts of interest.
12:5.0.1.1.6.1.1.9SECTION 308.9
   308.9 Ex parte communications.
12:5.0.1.1.6.1.1.10SECTION 308.10
   308.10 Filing of papers.
12:5.0.1.1.6.1.1.11SECTION 308.11
   308.11 Service of papers.
12:5.0.1.1.6.1.1.12SECTION 308.12
   308.12 Construction of time limits.
12:5.0.1.1.6.1.1.13SECTION 308.13
   308.13 Change of time limits.
12:5.0.1.1.6.1.1.14SECTION 308.14
   308.14 Witness fees and expenses.
12:5.0.1.1.6.1.1.15SECTION 308.15
   308.15 Opportunity for informal settlement.
12:5.0.1.1.6.1.1.16SECTION 308.16
   308.16 FDIC's right to conduct examination.
12:5.0.1.1.6.1.1.17SECTION 308.17
   308.17 Collateral attacks on adjudicatory proceeding.
12:5.0.1.1.6.1.1.18SECTION 308.18
   308.18 Commencement of proceeding and contents of notice.
12:5.0.1.1.6.1.1.19SECTION 308.19
   308.19 Answer.
12:5.0.1.1.6.1.1.20SECTION 308.20
   308.20 Amended pleadings.
12:5.0.1.1.6.1.1.21SECTION 308.21
   308.21 Failure to appear.
12:5.0.1.1.6.1.1.22SECTION 308.22
   308.22 Consolidation and severance of actions.
12:5.0.1.1.6.1.1.23SECTION 308.23
   308.23 Motions.
12:5.0.1.1.6.1.1.24SECTION 308.24
   308.24 Scope of document discovery.
12:5.0.1.1.6.1.1.25SECTION 308.25
   308.25 Request for document discovery from parties.
12:5.0.1.1.6.1.1.26SECTION 308.26
   308.26 Document subpoenas to nonparties.
12:5.0.1.1.6.1.1.27SECTION 308.27
   308.27 Deposition of witness unavailable for hearing.
12:5.0.1.1.6.1.1.28SECTION 308.28
   308.28 Interlocutory review.
12:5.0.1.1.6.1.1.29SECTION 308.29
   308.29 Summary disposition.
12:5.0.1.1.6.1.1.30SECTION 308.30
   308.30 Partial summary disposition.
12:5.0.1.1.6.1.1.31SECTION 308.31
   308.31 Scheduling and prehearing conferences.
12:5.0.1.1.6.1.1.32SECTION 308.32
   308.32 Prehearing submissions.
12:5.0.1.1.6.1.1.33SECTION 308.33
   308.33 Public hearings.
12:5.0.1.1.6.1.1.34SECTION 308.34
   308.34 Hearing subpoenas.
12:5.0.1.1.6.1.1.35SECTION 308.35
   308.35 Conduct of hearings.
12:5.0.1.1.6.1.1.36SECTION 308.36
   308.36 Evidence.
12:5.0.1.1.6.1.1.37SECTION 308.37
   308.37 Post-hearing filings.
12:5.0.1.1.6.1.1.38SECTION 308.38
   308.38 Recommended decision and filing of record.
12:5.0.1.1.6.1.1.39SECTION 308.39
   308.39 Exceptions to recommended decision.
12:5.0.1.1.6.1.1.40SECTION 308.40
   308.40 Review by Board of Directors.
12:5.0.1.1.6.1.1.41SECTION 308.41
   308.41 Stays pending judicial review.
12:5.0.1.1.6.2SUBPART B
Subpart B - General Rules of Procedure
12:5.0.1.1.6.2.1.1SECTION 308.101
   308.101 Scope of Local Rules.
12:5.0.1.1.6.2.1.2SECTION 308.102
   308.102 Authority of Board of Directors and Administrative Officer.
12:5.0.1.1.6.2.1.3SECTION 308.103
   308.103 Appointment of administrative law judge.
12:5.0.1.1.6.2.1.4SECTION 308.104
   308.104 Filings with the Board of Directors.
12:5.0.1.1.6.2.1.5SECTION 308.105
   308.105 Custodian of the record.
12:5.0.1.1.6.2.1.6SECTION 308.106
   308.106 Written testimony in lieu of oral hearing.
12:5.0.1.1.6.2.1.7SECTION 308.107
   308.107 Document discovery.
12:5.0.1.1.6.3SUBPART C
Subpart C - Rules of Practice Before the FDIC and Standards of Conduct
12:5.0.1.1.6.3.1.1SECTION 308.108
   308.108 Sanctions.
12:5.0.1.1.6.3.1.2SECTION 308.109
   308.109 Suspension and disbarment.
12:5.0.1.1.6.4SUBPART D
Subpart D - Rules and Procedures Applicable to Proceedings Relating to Disapproval of Acquisition of Control
12:5.0.1.1.6.4.1.1SECTION 308.110
   308.110 Scope.
12:5.0.1.1.6.4.1.2SECTION 308.111
   308.111 Grounds for disapproval.
12:5.0.1.1.6.4.1.3SECTION 308.112
   308.112 Notice of disapproval.
12:5.0.1.1.6.4.1.4SECTION 308.113
   308.113 Answer to notice of disapproval.
12:5.0.1.1.6.4.1.5SECTION 308.114
   308.114 Burden of proof.
12:5.0.1.1.6.5SUBPART E
Subpart E - Rules and Procedures Applicable to Proceedings Relating to Assessment of Civil Penalties for Willful Violations of the Change in Bank Control Act
12:5.0.1.1.6.5.1.1SECTION 308.115
   308.115 Scope.
12:5.0.1.1.6.5.1.2SECTION 308.116
   308.116 Assessment of penalties.
12:5.0.1.1.6.5.1.3SECTION 308.117
   308.117 Effective date of, and payment under, an order to pay.
12:5.0.1.1.6.5.1.4SECTION 308.118
   308.118 Collection of penalties.
12:5.0.1.1.6.6SUBPART F
Subpart F - Rules and Procedures Applicable to Proceedings for Involuntary Termination of Insured Status
12:5.0.1.1.6.6.1.1SECTION 308.119
   308.119 Scope.
12:5.0.1.1.6.6.1.2SECTION 308.120
   308.120 Grounds for termination of insurance.
12:5.0.1.1.6.6.1.3SECTION 308.121
   308.121 Notification to primary regulator.
12:5.0.1.1.6.6.1.4SECTION 308.122
   308.122 Notice of intent to terminate.
12:5.0.1.1.6.6.1.5SECTION 308.123
   308.123 Notice to depositors.
12:5.0.1.1.6.6.1.6SECTION 308.124
   308.124 Involuntary termination of insured status for failure to receive deposits.
12:5.0.1.1.6.6.1.7SECTION 308.125
   308.125 Temporary suspension of deposit insurance.
12:5.0.1.1.6.6.1.8SECTION 308.126
   308.126 Special supervisory associations.
12:5.0.1.1.6.7SUBPART G
Subpart G - Rules and Procedures Applicable to Proceedings Relating to Cease-and-Desist Orders
12:5.0.1.1.6.7.1.1SECTION 308.127
   308.127 Scope.
12:5.0.1.1.6.7.1.2SECTION 308.128
   308.128 Grounds for cease-and-desist orders.
12:5.0.1.1.6.7.1.3SECTION 308.129
   308.129 Notice to state supervisory authority.
12:5.0.1.1.6.7.1.4SECTION 308.130
   308.130 Effective date of order and service on bank.
12:5.0.1.1.6.7.1.5SECTION 308.131
   308.131 Temporary cease-and-desist order.
12:5.0.1.1.6.8SUBPART H
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
12:5.0.1.1.6.8.1.1SECTION 308.132
   308.132 Assessment of penalties.
12:5.0.1.1.6.8.1.2SECTION 308.133
   308.133 Effective date of, and payment under, an order to pay.
12:5.0.1.1.6.9SUBPART I
Subpart I - Rules and Procedures for Imposition of Sanctions Upon Municipal Securities Dealers or Persons Associated With Them and Clearing Agencies or Transfer Agents
12:5.0.1.1.6.9.1.1SECTION 308.134
   308.134 Scope.
12:5.0.1.1.6.9.1.2SECTION 308.135
   308.135 Grounds for imposition of sanctions.
12:5.0.1.1.6.9.1.3SECTION 308.136
   308.136 Notice to and consultation with the Securities and Exchange Commission.
12:5.0.1.1.6.9.1.4SECTION 308.137
   308.137 Effective date of order imposing sanctions.
12:5.0.1.1.6.10SUBPART J
Subpart J - Rules and Procedures Relating to Exemption Proceedings Under Section 12(h) of the Securities Exchange Act of 1934
12:5.0.1.1.6.10.1.1SECTION 308.138
   308.138 Scope.
12:5.0.1.1.6.10.1.2SECTION 308.139
   308.139 Application for exemption.
12:5.0.1.1.6.10.1.3SECTION 308.140
   308.140 Newspaper notice.
12:5.0.1.1.6.10.1.4SECTION 308.141
   308.141 Notice of hearing.
12:5.0.1.1.6.10.1.5SECTION 308.142
   308.142 Hearing.
12:5.0.1.1.6.10.1.6SECTION 308.143
   308.143 Decision of Board of Directors.
12:5.0.1.1.6.11SUBPART K
Subpart K - Procedures Applicable to Investigations Pursuant to Section 10(c) of the FDIA
12:5.0.1.1.6.11.1.1SECTION 308.144
   308.144 Scope.
12:5.0.1.1.6.11.1.2SECTION 308.145
   308.145 Conduct of investigation.
12:5.0.1.1.6.11.1.3SECTION 308.146
   308.146 Powers of person conducting investigation.
12:5.0.1.1.6.11.1.4SECTION 308.147
   308.147 Investigations confidential.
12:5.0.1.1.6.11.1.5SECTION 308.148
   308.148 Rights of witnesses.
12:5.0.1.1.6.11.1.6SECTION 308.149
   308.149 Service of subpoena.
12:5.0.1.1.6.11.1.7SECTION 308.150
   308.150 Transcripts.
12:5.0.1.1.6.12SUBPART L
Subpart L - Procedures and Standards Applicable to a Notice of Change in Senior Executive Officer or Director Pursuant to Section 32 of the FDIA
12:5.0.1.1.6.12.1.1SECTION 308.151
   308.151 Scope.
12:5.0.1.1.6.12.1.2SECTION 308.152
   308.152 Grounds for disapproval of notice.
12:5.0.1.1.6.12.1.3SECTION 308.153
   308.153 Procedures where notice of disapproval issues pursuant to § 303.103(c) of this chapter.
12:5.0.1.1.6.12.1.4SECTION 308.154
   308.154 Decision on review.
12:5.0.1.1.6.12.1.5SECTION 308.155
   308.155 Hearing.
12:5.0.1.1.6.13SUBPART M
Subpart M - Procedures Applicable to the Request for and Conduct of a Hearing after Denial of an Application under Section 19 of the FDI Act
12:5.0.1.1.6.13.1.1SECTION 308.156
   308.156 Scope.
12:5.0.1.1.6.13.1.2SECTION 308.157
   308.157 Denial of applications.
12:5.0.1.1.6.13.1.3SECTION 308.158
   308.158 Hearings.
12:5.0.1.1.6.13.1.4SECTION 308.159-308.160
   308.159-308.160 [Reserved]
12:5.0.1.1.6.14SUBPART N
Subpart N - Rules and Procedures Applicable to Proceedings Relating to Suspension, Removal, and Prohibition Where a Felony ls Charged
12:5.0.1.1.6.14.1.1SECTION 308.161
   308.161 Scope.
12:5.0.1.1.6.14.1.2SECTION 308.162
   308.162 Relevant considerations.
12:5.0.1.1.6.14.1.3SECTION 308.163
   308.163 Notice of suspension or prohibition, and orders of removal or prohibition.
12:5.0.1.1.6.14.1.4SECTION 308.164
   308.164 Hearings.
12:5.0.1.1.6.15SUBPART O
Subpart O - Liability of Commonly Controlled Depository Institutions
12:5.0.1.1.6.15.1.1SECTION 308.165
   308.165 Scope.
12:5.0.1.1.6.15.1.2SECTION 308.166
   308.166 Grounds for assessment of liability.
12:5.0.1.1.6.15.1.3SECTION 308.167
   308.167 Notice of assessment of liability.
12:5.0.1.1.6.15.1.4SECTION 308.168
   308.168 Effective date of and payment under an order to pay.
12:5.0.1.1.6.16SUBPART P
Subpart P - Rules and Procedures Relating to the Recovery of Attorney Fees and Other Expenses
12:5.0.1.1.6.16.1.1SECTION 308.169
   308.169 Scope.
12:5.0.1.1.6.16.1.2SECTION 308.170
   308.170 Filing, content, and service of documents.
12:5.0.1.1.6.16.1.3SECTION 308.171
   308.171 Responses to application.
12:5.0.1.1.6.16.1.4SECTION 308.172
   308.172 Eligibility of applicants.
12:5.0.1.1.6.16.1.5SECTION 308.173
   308.173 Prevailing party.
12:5.0.1.1.6.16.1.6SECTION 308.174
   308.174 Standards for awards.
12:5.0.1.1.6.16.1.7SECTION 308.175
   308.175 Measure of awards.
12:5.0.1.1.6.16.1.8SECTION 308.176
   308.176 Application for awards.
12:5.0.1.1.6.16.1.9SECTION 308.177
   308.177 Statement of net worth.
12:5.0.1.1.6.16.1.10SECTION 308.178
   308.178 Statement of fees and expenses.
12:5.0.1.1.6.16.1.11SECTION 308.179
   308.179 Settlement negotiations.
12:5.0.1.1.6.16.1.12SECTION 308.180
   308.180 Further proceedings.
12:5.0.1.1.6.16.1.13SECTION 308.181
   308.181 Recommended decision.
12:5.0.1.1.6.16.1.14SECTION 308.182
   308.182 Board of Directors action.
12:5.0.1.1.6.16.1.15SECTION 308.183
   308.183 Payment of awards.
12:5.0.1.1.6.17SUBPART Q
Subpart Q - Issuance and Review of Orders Pursuant to the Prompt Corrective Action Provisions of the Federal Deposit Insurance Act
12:5.0.1.1.6.17.1.1SECTION 308.200
   308.200 Scope.
12:5.0.1.1.6.17.1.2SECTION 308.201
   308.201 Directives to take prompt corrective action.
12:5.0.1.1.6.17.1.3SECTION 308.202
   308.202 Procedures for reclassifying a bank based on criteria other than capital.
12:5.0.1.1.6.17.1.4SECTION 308.203
   308.203 Order to dismiss a director or senior executive officer.
12:5.0.1.1.6.17.1.5SECTION 308.204
   308.204 Enforcement of directives.
12:5.0.1.1.6.18SUBPART R
Subpart R - Submission and Review of Safety and Soundness Compliance Plans and Issuance of Orders To Correct Safety and Soundness Deficiencies
12:5.0.1.1.6.18.1.1SECTION 308.300
   308.300 Scope.
12:5.0.1.1.6.18.1.2SECTION 308.301
   308.301 Purpose.
12:5.0.1.1.6.18.1.3SECTION 308.302
   308.302 Determination and notification of failure to meet a safety and soundness standard and request for compliance plan.
12:5.0.1.1.6.18.1.4SECTION 308.303
   308.303 Filing of safety and soundness compliance plan.
12:5.0.1.1.6.18.1.5SECTION 308.304
   308.304 Issuance of orders to correct deficiencies and to take or refrain from taking other actions.
12:5.0.1.1.6.18.1.6SECTION 308.305
   308.305 Enforcement of orders.
12:5.0.1.1.6.19SUBPART S
Subpart S - Applications for a Stay or Review of Actions of Bank Clearing Agencies
12:5.0.1.1.6.19.1.1SECTION 308.400
   308.400 Scope.
12:5.0.1.1.6.19.1.2SECTION 308.401
   308.401 Applications for stays of disciplinary sanctions or summary suspensions by a bank clearing agency.
12:5.0.1.1.6.19.1.3SECTION 308.402
   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.
12:5.0.1.1.6.20SUBPART T
Subpart T - Program Fraud Civil Remedies and Procedures
12:5.0.1.1.6.20.1.1SECTION 308.500
   308.500 Basis, purpose, and scope.
12:5.0.1.1.6.20.1.2SECTION 308.501
   308.501 Definitions.
12:5.0.1.1.6.20.1.3SECTION 308.502
   308.502 Basis for civil penalties and assessments.
12:5.0.1.1.6.20.1.4SECTION 308.503
   308.503 Investigations.
12:5.0.1.1.6.20.1.5SECTION 308.504
   308.504 Review by the reviewing official.
12:5.0.1.1.6.20.1.6SECTION 308.505
   308.505 Prerequisites for issuing a complaint.
12:5.0.1.1.6.20.1.7SECTION 308.506
   308.506 Complaint.
12:5.0.1.1.6.20.1.8SECTION 308.507
   308.507 Service of complaint.
12:5.0.1.1.6.20.1.9SECTION 308.508
   308.508 Answer.
12:5.0.1.1.6.20.1.10SECTION 308.509
   308.509 Default upon failure to file an answer.
12:5.0.1.1.6.20.1.11SECTION 308.510
   308.510 Referral of complaint and answer to the ALJ.
12:5.0.1.1.6.20.1.12SECTION 308.511
   308.511 Notice of hearing.
12:5.0.1.1.6.20.1.13SECTION 308.512
   308.512 Parties to the hearing.
12:5.0.1.1.6.20.1.14SECTION 308.513
   308.513 Separation of functions.
12:5.0.1.1.6.20.1.15SECTION 308.514
   308.514 Ex parte contacts.
12:5.0.1.1.6.20.1.16SECTION 308.515
   308.515 Disqualification of reviewing official or ALJ.
12:5.0.1.1.6.20.1.17SECTION 308.516
   308.516 Rights of parties.
12:5.0.1.1.6.20.1.18SECTION 308.517
   308.517 Authority of the ALJ.
12:5.0.1.1.6.20.1.19SECTION 308.518
   308.518 Prehearing conferences.
12:5.0.1.1.6.20.1.20SECTION 308.519
   308.519 Disclosure of documents.
12:5.0.1.1.6.20.1.21SECTION 308.520
   308.520 Discovery.
12:5.0.1.1.6.20.1.22SECTION 308.521
   308.521 Exchange of witness lists, statements, and exhibits.
12:5.0.1.1.6.20.1.23SECTION 308.522
   308.522 Subpoenas for attendance at hearing.
12:5.0.1.1.6.20.1.24SECTION 308.523
   308.523 Protective order.
12:5.0.1.1.6.20.1.25SECTION 308.524
   308.524 Witness fees.
12:5.0.1.1.6.20.1.26SECTION 308.525
   308.525 Form, filing, and service of papers.
12:5.0.1.1.6.20.1.27SECTION 308.526
   308.526 Computation of time.
12:5.0.1.1.6.20.1.28SECTION 308.527
   308.527 Motions.
12:5.0.1.1.6.20.1.29SECTION 308.528
   308.528 Sanctions.
12:5.0.1.1.6.20.1.30SECTION 308.529
   308.529 The hearing and burden of proof.
12:5.0.1.1.6.20.1.31SECTION 308.530
   308.530 Determining the amount of penalties and assessments.
12:5.0.1.1.6.20.1.32SECTION 308.531
   308.531 Location of hearing.
12:5.0.1.1.6.20.1.33SECTION 308.532
   308.532 Witnesses.
12:5.0.1.1.6.20.1.34SECTION 308.533
   308.533 Evidence.
12:5.0.1.1.6.20.1.35SECTION 308.534
   308.534 The record.
12:5.0.1.1.6.20.1.36SECTION 308.535
   308.535 Post-hearing briefs.
12:5.0.1.1.6.20.1.37SECTION 308.536
   308.536 Initial decision.
12:5.0.1.1.6.20.1.38SECTION 308.537
   308.537 Reconsideration of initial decision.
12:5.0.1.1.6.20.1.39SECTION 308.538
   308.538 Appeal to the Board of Directors.
12:5.0.1.1.6.20.1.40SECTION 308.539
   308.539 Stays ordered by the Department of Justice.
12:5.0.1.1.6.20.1.41SECTION 308.540
   308.540 Stay pending appeal.
12:5.0.1.1.6.20.1.42SECTION 308.541
   308.541 Judicial review.
12:5.0.1.1.6.20.1.43SECTION 308.542
   308.542 Collection of civil penalties and assessments.
12:5.0.1.1.6.20.1.44SECTION 308.543
   308.543 Right to administrative offset.
12:5.0.1.1.6.20.1.45SECTION 308.544
   308.544 Deposit in Treasury of United States.
12:5.0.1.1.6.20.1.46SECTION 308.545
   308.545 Compromise or settlement.
12:5.0.1.1.6.20.1.47SECTION 308.546
   308.546 Limitations.
12:5.0.1.1.6.21SUBPART U
Subpart U - Removal, Suspension, and Debarment of Accountants From Performing Audit Services
12:5.0.1.1.6.21.1.1SECTION 308.600
   308.600 Scope.
12:5.0.1.1.6.21.1.2SECTION 308.601
   308.601 Definitions.
12:5.0.1.1.6.21.1.3SECTION 308.602
   308.602 Removal, suspension, or debarment.
12:5.0.1.1.6.21.1.4SECTION 308.603
   308.603 Automatic removal, suspension, and debarment.
12:5.0.1.1.6.21.1.5SECTION 308.604
   308.604 Notice of removal, suspension, or debarment.
12:5.0.1.1.6.21.1.6SECTION 308.605
   308.605 Application for reinstatement.