Title 12

PART 19

Part 19 - Rules Of Practice And Procedure

PART 19 - RULES OF PRACTICE AND PROCEDURE Authority:5 U.S.C. 504, 554-557; 12 U.S.C. 93(b), 93a, 164, 481, 504, 1817, 1818, 1820, 1831m, 1831o, 1832, 1884, 1972, 3102, 3108(a), 3110, 3909, and 4717; 15 U.S.C. 78(h) and (i), 78o-4(c), 78o-5, 78q-1, 78s, 78u, 78u-2, 78u-3, 78w, and 1639e; 28 U.S.C. 2461 note; 31 U.S.C. 330 and 5321; and 42 U.S.C. 4012a. Source:56 FR 38028, Aug. 9, 1991, unless otherwise noted.

12:1.0.1.1.17.1SUBPART A
Subpart A - Uniform Rules of Practice and Procedure
12:1.0.1.1.17.1.27.1SECTION 19.1
   19.1 Scope.
12:1.0.1.1.17.1.27.2SECTION 19.2
   19.2 Rules of construction.
12:1.0.1.1.17.1.27.3SECTION 19.3
   19.3 Definitions.
12:1.0.1.1.17.1.27.4SECTION 19.4
   19.4 Authority of the Comptroller.
12:1.0.1.1.17.1.27.5SECTION 19.5
   19.5 Authority of the administrative law judge.
12:1.0.1.1.17.1.27.6SECTION 19.6
   19.6 Appearance and practice in adjudicatory proceedings.
12:1.0.1.1.17.1.27.7SECTION 19.7
   19.7 Good faith certification.
12:1.0.1.1.17.1.27.8SECTION 19.8
   19.8 Conflicts of interest.
12:1.0.1.1.17.1.27.9SECTION 19.9
   19.9 Ex parte communications.
12:1.0.1.1.17.1.27.10SECTION 19.10
   19.10 Filing of papers.
12:1.0.1.1.17.1.27.11SECTION 19.11
   19.11 Service of papers.
12:1.0.1.1.17.1.27.12SECTION 19.12
   19.12 Construction of time limits.
12:1.0.1.1.17.1.27.13SECTION 19.13
   19.13 Change of time limits.
12:1.0.1.1.17.1.27.14SECTION 19.14
   19.14 Witness fees and expenses.
12:1.0.1.1.17.1.27.15SECTION 19.15
   19.15 Opportunity for informal settlement.
12:1.0.1.1.17.1.27.16SECTION 19.16
   19.16 OCC's right to conduct examination.
12:1.0.1.1.17.1.27.17SECTION 19.17
   19.17 Collateral attacks on adjudicatory proceeding.
12:1.0.1.1.17.1.27.18SECTION 19.18
   19.18 Commencement of proceeding and contents of notice.
12:1.0.1.1.17.1.27.19SECTION 19.19
   19.19 Answer.
12:1.0.1.1.17.1.27.20SECTION 19.20
   19.20 Amended pleadings.
12:1.0.1.1.17.1.27.21SECTION 19.21
   19.21 Failure to appear.
12:1.0.1.1.17.1.27.22SECTION 19.22
   19.22 Consolidation and severance of actions.
12:1.0.1.1.17.1.27.23SECTION 19.23
   19.23 Motions.
12:1.0.1.1.17.1.27.24SECTION 19.24
   19.24 Scope of document discovery.
12:1.0.1.1.17.1.27.25SECTION 19.25
   19.25 Request for document discovery from parties.
12:1.0.1.1.17.1.27.26SECTION 19.26
   19.26 Document subpoenas to nonparties.
12:1.0.1.1.17.1.27.27SECTION 19.27
   19.27 Deposition of witness unavailable for hearing.
12:1.0.1.1.17.1.27.28SECTION 19.28
   19.28 Interlocutory review.
12:1.0.1.1.17.1.27.29SECTION 19.29
   19.29 Summary disposition.
12:1.0.1.1.17.1.27.30SECTION 19.30
   19.30 Partial summary disposition.
12:1.0.1.1.17.1.27.31SECTION 19.31
   19.31 Scheduling and prehearing conferences.
12:1.0.1.1.17.1.27.32SECTION 19.32
   19.32 Prehearing submissions.
12:1.0.1.1.17.1.27.33SECTION 19.33
   19.33 Public hearings.
12:1.0.1.1.17.1.27.34SECTION 19.34
   19.34 Hearing subpoenas.
12:1.0.1.1.17.1.27.35SECTION 19.35
   19.35 Conduct of hearings.
12:1.0.1.1.17.1.27.36SECTION 19.36
   19.36 Evidence.
12:1.0.1.1.17.1.27.37SECTION 19.37
   19.37 Post-hearing filings.
12:1.0.1.1.17.1.27.38SECTION 19.38
   19.38 Recommended decision and filing of record.
12:1.0.1.1.17.1.27.39SECTION 19.39
   19.39 Exceptions to recommended decision.
12:1.0.1.1.17.1.27.40SECTION 19.40
   19.40 Review by the Comptroller.
12:1.0.1.1.17.1.27.41SECTION 19.41
   19.41 Stays pending judicial review.
12:1.0.1.1.17.2SUBPART B
Subpart B - Procedural Rules for OCC Adjudications
12:1.0.1.1.17.2.27.1SECTION 19.100
   19.100 Filing documents.
12:1.0.1.1.17.2.27.2SECTION 19.101
   19.101 Delegation to OFIA.
12:1.0.1.1.17.3SUBPART C
Subpart C - Removals, Suspensions, and Prohibitions When a Crime Is Charged or a Conviction is Obtained
12:1.0.1.1.17.3.27.1SECTION 19.110
   19.110 Scope.
12:1.0.1.1.17.3.27.2SECTION 19.111
   19.111 Suspension, removal, or prohibition.
12:1.0.1.1.17.3.27.3SECTION 19.112
   19.112 Informal hearing.
12:1.0.1.1.17.3.27.4SECTION 19.113
   19.113 Recommended and final decisions.
12:1.0.1.1.17.4SUBPART D
Subpart D - Exemption Hearings Under Section 12(h) of the Securities Exchange Act of 1934
12:1.0.1.1.17.4.27.1SECTION 19.120
   19.120 Scope.
12:1.0.1.1.17.4.27.2SECTION 19.121
   19.121 Application for exemption.
12:1.0.1.1.17.4.27.3SECTION 19.122
   19.122 Newspaper notice.
12:1.0.1.1.17.4.27.4SECTION 19.123
   19.123 Informal hearing.
12:1.0.1.1.17.4.27.5SECTION 19.124
   19.124 Decision of the Comptroller.
12:1.0.1.1.17.5SUBPART E
Subpart E - Disciplinary Proceedings Involving the Federal Securities Laws
12:1.0.1.1.17.5.27.1SECTION 19.130
   19.130 Scope.
12:1.0.1.1.17.5.27.2SECTION 19.131
   19.131 Notice of charges and answer.
12:1.0.1.1.17.5.27.3SECTION 19.132
   19.132 Disciplinary orders.
12:1.0.1.1.17.5.27.4SECTION 19.135
   19.135 Applications for stay or review of disciplinary actions imposed by registered clearing agencies.
12:1.0.1.1.17.6SUBPART F
Subpart F - Civil Money Penalty Authority Under the Securities Laws
12:1.0.1.1.17.6.27.1SECTION 19.140
   19.140 Scope.
12:1.0.1.1.17.7SUBPART G
Subpart G - Cease-and-Desist Authority Under the Securities Laws
12:1.0.1.1.17.7.27.1SECTION 19.150
   19.150 Scope.
12:1.0.1.1.17.8SUBPART H
Subpart H - Change in Bank Control
12:1.0.1.1.17.8.27.1SECTION 19.160
   19.160 Scope.
12:1.0.1.1.17.8.27.2SECTION 19.161
   19.161 Notice of disapproval and hearing initiation.
12:1.0.1.1.17.9SUBPART I
Subpart I - Discovery Depositions and Subpoenas
12:1.0.1.1.17.9.27.1SECTION 19.170
   19.170 Discovery depositions.
12:1.0.1.1.17.9.27.2SECTION 19.171
   19.171 Deposition subpoenas.
12:1.0.1.1.17.10SUBPART J
Subpart J - Formal Investigations
12:1.0.1.1.17.10.27.1SECTION 19.180
   19.180 Scope.
12:1.0.1.1.17.10.27.2SECTION 19.181
   19.181 Confidentiality of formal investigations.
12:1.0.1.1.17.10.27.3SECTION 19.182
   19.182 Order to conduct a formal investigation.
12:1.0.1.1.17.10.27.4SECTION 19.183
   19.183 Rights of witnesses.
12:1.0.1.1.17.10.27.5SECTION 19.184
   19.184 Service of subpoena and payment of witness expenses.
12:1.0.1.1.17.11SUBPART K
Subpart K - Parties and Representational Practice Before the OCC; Standards of Conduct
12:1.0.1.1.17.11.27.1SECTION 19.190
   19.190 Scope.
12:1.0.1.1.17.11.27.2SECTION 19.191
   19.191 Definitions.
12:1.0.1.1.17.11.27.3SECTION 19.192
   19.192 Sanctions relating to conduct in an adjudicatory proceeding.
12:1.0.1.1.17.11.27.4SECTION 19.193
   19.193 Censure, suspension or debarment.
12:1.0.1.1.17.11.27.5SECTION 19.194
   19.194 Eligibility of attorneys and accountants to practice.
12:1.0.1.1.17.11.27.6SECTION 19.195
   19.195 Incompetence.
12:1.0.1.1.17.11.27.7SECTION 19.196
   19.196 Disreputable conduct.
12:1.0.1.1.17.11.27.8SECTION 19.197
   19.197 Initiation of disciplinary proceeding.
12:1.0.1.1.17.11.27.9SECTION 19.198
   19.198 Conferences.
12:1.0.1.1.17.11.27.10SECTION 19.199
   19.199 Proceedings under this subpart.
12:1.0.1.1.17.11.27.11SECTION 19.200
   19.200 Effect of suspension, debarment or censure.
12:1.0.1.1.17.11.27.12SECTION 19.201
   19.201 Petition for reinstatement.
12:1.0.1.1.17.12SUBPART L
Subpart L - Equal Access to Justice Act
12:1.0.1.1.17.12.27.1SECTION 19.210
   19.210 Scope.
12:1.0.1.1.17.13SUBPART M
Subpart M - Procedures for Reclassifying a Bank Based on Criteria Other Than Capital
12:1.0.1.1.17.13.27.1SECTION 19.220
   19.220 Scope.
12:1.0.1.1.17.13.27.2SECTION 19.221
   19.221 Reclassification of a bank based on unsafe or unsound condition or practice.
12:1.0.1.1.17.13.27.3SECTION 19.222
   19.222 Request for rescission of reclassification.
12:1.0.1.1.17.14SUBPART N
Subpart N - Order To Dismiss a Director or Senior Executive Officer
12:1.0.1.1.17.14.27.1SECTION 19.230
   19.230 Scope.
12:1.0.1.1.17.14.27.2SECTION 19.231
   19.231 Order to dismiss a director or senior executive officer.
12:1.0.1.1.17.15SUBPART O
Subpart O - Civil Money Penalty Adjustments
12:1.0.1.1.17.15.27.1SECTION 19.240
   19.240 Inflation adjustments.
12:1.0.1.1.17.16SUBPART P
Subpart P - Removal, Suspension, and Debarment of Accountants From Performing Audit Services
12:1.0.1.1.17.16.27.1SECTION 19.241
   19.241 Scope.
12:1.0.1.1.17.16.27.2SECTION 19.242
   19.242 Definitions.
12:1.0.1.1.17.16.27.3SECTION 19.243
   19.243 Removal, suspension, or debarment.
12:1.0.1.1.17.16.27.4SECTION 19.244
   19.244 Automatic removal, suspension, or debarment.
12:1.0.1.1.17.16.27.5SECTION 19.245
   19.245 Notice of removal, suspension, or debarment.
12:1.0.1.1.17.16.27.6SECTION 19.246
   19.246 Petition for reinstatement.