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Rules of Practice for Hearings

12 CFR 263; as amended effective April 1, 2024
Subpart A—Uniform Rules of Practice and Procedure
  • Section
  • Scope
  • Rules of construction
  • Definitions
  • Authority of the Board
  • Authority of the administrative law judge (ALJ)
  • Appearance and practice in adjudicatory proceedings
  • Good faith certification
  • Conflicts of interest
  • Ex parte communications
  • Filing of papers
  • Service of papers
  • Construction of time limits
  • Change of time limits
  • Witness fees and expenses
  • Opportunity for informal settlement
  • The Board’s right to conduct examination
  • Collateral attacks on adjudicatory proceeding
  • Commencement of proceeding and contents of notice
  • Answer
  • Amended pleadings
  • Failure to appear
  • Consolidation and severance of actions
  • Motions
  • Scope of document discovery
  • Request for document discovery from parties
  • Document subpoenas to nonparties
  • Deposition of witness unavailable for hearing
  • Interlocutory review
  • Summary disposition
  • Partial summary disposition
  • Scheduling and prehearing conferences
  • Prehearing submissions
  • Public hearings
  • Hearing subpoenas
  • Conduct of hearings
  • Evidence
  • Post-hearing filings
  • Recommended decision and filing of record
  • Exceptions to recommended decision
  • Review by the Board
  • Stays pending judicial review
Subpart B—Board Local Rules Supplementing the Uniform Rules
  • Section
  • Purpose and scope
  • Definitions
  • Address for filing
  • Discovery depositions
  • Delegation to the Office of Financial Institution Adjudication
  • Board as presiding officer
  • Initial licensing proceedings
  • Sanctions relating to conduct in an adjudicatory proceeding
Subpart C—Rules and Procedures for Assessment and Collection of Civil Money Penalties
  • Section
  • Scope
  • Opportunity for informal proceeding
  • Relevant considerations for assessment of civil penalty
  • Assessment order
  • Payment of civil penalty
  • Civil money penalty inflation adjustments
Subpart D—Rules and Procedures Applicable to Suspension or Removal of an Institution- Affiliated Party Where a Felony Is Charged or Proven
  • Section
  • Purpose and scope
  • Notice or order of suspension, removal, or prohibition
  • Request for informal hearing
  • Order for informal hearing
  • Decision of the Board
Subpart E—Procedures for Issuance and Enforcement of Directives to Maintain Adequate Capital
  • Section
  • Purpose and scope
  • Definitions
  • Establishment of minimum capital levels
  • Issuance of capital directives
  • Enforcement of directive
  • Establishment of increased capital level for specific institutions
Subpart F—Practice Before the Board
  • Section
  • Scope
  • Censure, suspension, or debarment
  • Definitions
  • Eligibility to practice
  • Conduct warranting sanctions
  • Initiation of disciplinary proceeding
  • Conferences
  • Proceedings under this subpart
  • Effect of suspension, debarment, or censure
  • Petition for reinstatement
Subpart G—Rules Regarding Claims Under the Equal Access to Justice Act
Subpart H—Issuance and Review of Orders Pursuant to Prompt-Corrective-Action Provisions of the Federal Deposit Insurance Act
  • Section
  • Scope
  • Directives to take prompt regulatory action
  • Procedures for reclassifying a state member bank based on criteria other than capital
  • Order to dismiss a director or senior executive officer
  • Enforcement of directives
Subpart I—Submission and Review of Safety-and-Soundness Compliance Plans and Issuance of Orders to Correct Safety-and- Soundness Deficiencies
  • Section
  • Scope
  • Purpose
  • Determination and notification of failure to meet safety-and-soundness standard and request for compliance plan
  • Filing of safety-and-soundness compliance plan
  • Issuance of orders to correct deficiencies and to take or refrain from taking other actions
  • Enforcement of orders
Subpart J—Removal, Suspension, and Debarment of Accountants from Performing Audit Services
  • Section
  • Scope
  • Definitions
  • Removal, suspension, or debarment
  • Automatic removal, suspension, and debarment
  • Notice of removal, suspension, or debarment
  • Petition for reinstatement
Subpart K—Formal Investigative Proceedings
Appendix A—Rules applicable to proceedings initiated before April 1, 2024
AUTHORITY: 5 U.S.C. 504, 554–557; 12 U.S.C. 248, 324, 334, 347a, 504, 505, 1464, 1467, 1467a, 1817(j), 1818, 1820(k), 1829, 1831o, 1831p–1, 1832(c), 1847(b), 1847(d), 1884, 1972(2)(F), 3105, 3108, 3110, 3349, 3907, 3909(d), 4717, 5323, 5362, 5365, 5463, 5464, 5466, 5467; 15 U.S.C. 21, 78l(i), 78o–4, 78o–5, 78u–2; 1639e(K); 28 U.S.C. 2461 note; 31 U.S.C. 5321; and 42 U.S.C. 4012a.
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