| SR-11-10 |
Interagency Counterparty Credit Risk Management Guidance |
|
| SR-11-9 |
Interagency Supplement to Authentication in an Internet Banking
Environment |
|
| SR-11-7 |
Guidance on Model Risk Management |
|
| SR-11-6 |
Guidance on Accepting Accounts from Foreign Embassies, Consulates,
and Missions (foreign missions) |
|
| SR-11-1 |
Impact of High-Cost Credit Protection Transactions on the Assessment
of Capital Adequacy |
|
| SR-10-17 |
Underwriting Standards for Small Business Loans Originated under
the Small Business Lending Fund Program |
|
| SR-10-12 |
Interagency Supervisory Guidance on Bargain Purchases and FDIC-
and NCUA-Assisted Acquisitions |
|
| SR-10-10 |
Interagency Guidance on Correspondent Concentration Risk |
|
| SR-10-6 |
Interagency Policy Statement on Funding and Liquidity Risk Management |
|
| SR-10-3 |
FFIEC Retail Payment Systems Booklet |
Outdated announcement. Refer to the Retail Payment Systems booklet
of the FFIEC Information Technology Examination Handbook. |
| SR-10-1 |
Interagency Advisory on Interest Rate Risk |
|
| SR-09-7 |
Prudent Commercial Real Estate Loan Workouts |
|
| SR-09-4 |
Applying Supervisory Guidance and Regulations on the Payment of
Dividends, Stock Redemptions, and Stock Repurchases at Bank Holding
Companies (revised 3/27/2009) |
|
| SR-09-1 |
Application of the Market Risk Rule in Bank Holding Companies and
State Member Banks |
|
| SR-08-12 |
Revisions to the Guide to the Interagency Country Exposure Review
Committee (ICERC) Process |
|
| SR-08-9 / CA 08-12 |
Consolidated Supervision of Bank Holding Companies and the Combined
U.S. Operations of Foreign Banking Organizations |
Partially superseded by SR-12-17 / CA 12-14, “Consolidated
Supervision Framework for Large Financial Institutions.” |
| SR-08-8 / CA 08-11 |
Compliance Risk Management Programs and Oversight at Large Banking
Organizations with Complex Compliance Profiles |
|
| SR-08-4 |
Qualification Process for Advanced Approaches Risk-Based Capital
Framework Implementation |
Made inactive by SR-16-9, “Inactive Supervisory Guidance.”
Refer to the Board’s regulatory capital rules at 12 CFR part
217 (Regulation Q). |
| SR-08-3 |
FFIEC Business Continuity Planning Booklet |
Outdated announcement. Refer to the Business Continuity Planning
booklet of the FFIEC Information Technology Examination Handbook. |
| SR-07-19 |
Confidentiality Provisions in Third-Party Agreements |
|
| SR-07-18 |
FFIEC Guidance on Pandemic Planning |
Made inactive by SR-20-3 / CA 20-2, “Interagency Statement
on Pandemic Planning.” |
| SR-07-16 / CA 07-4 |
Statement on Loss Mitigation Strategies for Servicers of Residential
Mortgages |
|
| SR-07-12 / CA 07-3 |
Statement on Subprime Mortgage Lending |
|
| SR-07-11 |
The Fair Value Option and the Applicability of the Market Risk Capital
Rule |
|
| SR-07-7 / CA 07-2 |
Guidance on Filing Notices of Proposed Class Action Settlements |
|
| SR-07-6 / CA 07-1 |
Working with Mortgage Borrowers |
|
| SR-07-5 |
Interagency Statement on Sound Practices Concerning Elevated Risk
Complex Structured Finance Activities |
|
| SR-07-1 |
Interagency Guidance on Concentrations in Commercial Real Estate |
|
| SR-06-17 |
Interagency Policy Statement on the Allowance for Loan and Lease
Losses (ALLL) |
Partially superseded by SR-20-12, “Interagency Policy Statement
on Allowances for Credit Losses,” and SR-20-13, “Interagency
Guidance on Credit Risk Review Systems.” |
| SR-06-15 / CA 06-12 |
Interagency Guidance on Nontraditional Mortgage Product Risks |
|
| SR-06-13 |
Questions and Answers Related to Interagency Guidance on Authentication
in an Internet Banking Environment |
|
| SR-06-12 |
FFIEC Information Security Booklet |
Outdated announcement. Refer to the Information Security booklet
of the FFIEC Information Technology Examination Handbook. |
| SR-06-5 |
Influenza Pandemic Preparedness |
Made inactive by SR-20-3 / CA 20-2, “Interagency Statement
on Pandemic Planning.” |
| SR-06-4 |
Interagency Advisory on the Unsafe and Unsound Use of Limitation
of Liability Provisions in External Audit Engagement Letters |
|
| SR-06-1 |
Interagency Guidance on Sharing Suspicious Activity Reports with
Head Offices and Controlling Companies |
|
| SR-05-26 |
Special Post-Employment Restriction Set Forth in the Intelligence
Reform and Terrorism Prevention Act of 2004 |
Superseded by SR-16-16 / CA 16-7, “Special Post-Employment
Restriction for Senior Examiners.” |
| SR-05-21 |
Guidance on the Examination Treatment of Assets Related to the Tobacco
Transition Payment Program |
Made inactive by SR-16-9. Program expired. |
| SR-05-19 |
Interagency Guidance on Authentication in an Internet Banking Environment |
|
| SR-05-13 |
Interagency Guidance on the Eligibility of Asset-Backed Commercial
Paper Program Liquidity Facilities and the Resulting Risk-Based Capital
Treatment |
Superseded by SR-15-6, “Interagency Frequently Asked Questions
(FAQs) on the Regulatory Capital Rule.” |
| SR-05-11 |
Interagency Credit Risk Management Guidance for Home Equity Lending |
|
| SR-05-10 |
Accounting and Reporting for Commitments to Originate and Sell Mortgage
Loans |
|
| SR-05-6 |
Risk-Based Capital Treatment for Unrated Direct Credit Substitutes
Extended to Asset-Backed Commercial Paper Programs |
Made inactive by SR-16-9. Refer to the Board’s regulatory capital
rules at 12 CFR part 217 (Regulation Q). |
| SR-05-4 |
Interagency Advisory on the Confidentiality of Nonpublic Supervisory
Information |
|
| SR-04-20 |
FFIEC Information Technology Examination Handbook |
Outdated announcement, refer to the FFIEC Information Technology
Examination Handbook. |
| SR-04-18 |
Bank Holding Company Rating System |
Made inactive by SR-19-4 / CA 19-3, “Supervisory Rating System
for Holding Companies with Total Consolidated Assets Less Than $100
Billion.” See also, SR-19-3 / CA 19-2, “Large Financial
Institution (LFI) Rating System.” |
| SR-04-17 |
FFIEC Guidance on the Use of Free and Open Source Software |
|
| SR-04-4 |
Accounting for Deferred Compensation Agreements |
|
| SR-03-19 |
Guidance on Change in Bank Control Procedures |
|
| SR-03-16 |
Application Filing Information Web Page |
|
| SR-03-14 |
Fraudulent Federal Reserve Note Schemes |
Made inactive by SR-16-9. Outdated announcement. |
| SR-03-10 |
Enhancement to the Name Check Process Related to Applications Reviewed
by the Federal Reserve |
Made inactive by SR-20-20, “Updated Fingerprinting Process
Related to Applications Reviewed by the Federal Reserve.” |
| SR-03-9 |
Interagency Paper on Sound Practices to Strengthen the Resilience
of the U.S. Financial System |
|
| SR-03-6 |
Guidance Regarding Restrictions on Institutions in Troubled Condition |
|
| SR-03-5 |
Amended Interagency Guidance on the Internal Audit Function and
its Outsourcing |
|
| SR-03-4 |
Risk Management and Valuation of Mortgage Servicing Assets Arising
from Mortgage Banking Activities |
|
| SR-03-2 |
Adoption of Regulation W Implementing Sections 23A and 23B of the
Federal Reserve Act |
|
| SR-03-1 |
Account Management and Loss Allowance Methodology for Credit Card
Lending |
|
| SR-02-17 |
Guidance Regarding Indemnification Agreements and Payments |
|
| SR-02-15 |
Implicit Recourse Provided to Asset Securitizations |
|
| SR-02-14 |
Covenants in Securitization Documents Linked to Supervisory Actions
or Thresholds |
|
| SR-02-13 |
“Prime Bank” and Other Financial Instrument Fraud Schemes |
Made inactive by SR-16-9. Outdated announcement. |
| SR-02-10 |
Derivative Contracts Hedging Trust Preferred Stock |
|
| SR-02-5 |
Interagency Guidance on Country Risk Management |
|
| SR-01-17 |
Final Interagency Policy Statement on Allowance for Loan and Lease
Losses (ALLL) Methodologies and Documentation for Banks and Savings
Institutions |
Partially superseded by SR-20-12, “Interagency Policy Statement
on Allowances for Credit Losses.” |
| SR-01-12 |
Interagency Guidance on Loans Held for Sale |
|
| SR-01-11 |
Identity Theft and Pretext Calling |
|
| SR-00-17 |
Guidance on the Risk Management of Outsourced Technology Services |
Guidance was rescinded with the issuance of the 2004 FFIEC Outsourcing
Technology Services Booklet. See the FFIEC’s July
15, 2004, press release for more information. |
| SR-00-14 |
Enhancements to the Interagency Program for Supervising the U.S.
Operations of Foreign Banking Organizations |
|
| SR-00-13 |
Framework for Financial Holding Company Supervision |
|
| SR-00-9 |
Supervisory Guidance on Equity Investment and Merchant Banking Activities |
|
| SR-00-8 |
Revised Uniform Retail Credit Classification and Account Management
Policy |
|
| SR-99-37 |
Risk Management and Valuation of Retained Interests Arising from
Securitization Activities |
For SLHCs that do not follow general accepted accounting principles
(GAAP), the guidance pertaining to GAAP in this letter does not apply. |
| SR-99-33 |
Interagency Policy Statement on External Audits of Banks With Less
Than $500 Million in Total Assets |
|
| SR-99-25 |
Minimum Documentation Standards for Loan Line Sheets |
|
| SR-99-24 |
Loan Write-Up Standards for Assets Criticized During Examinations |
|
| SR-99-22 |
Joint Interagency Letter on the Loan Loss Allowance |
Made inactive by SR-16-9. Outdated announcement. |
| SR-99-18 |
Assessing Capital Adequacy in Relation to Risk at Large Banking
Organizations and Others with Complex Risk Profiles |
Superseded by SR-15-18, “Federal Reserve Supervisory Assessment
of Capital Planning and Positions for LISCC Firms and Large and Complex
Firms,” and SR-15-19, “Federal Reserve Supervisory Assessment
of Capital Planning and Positions for Large and Noncomplex Firms.” |
| SR-99-13 |
Recent Developments Regarding Loan Loss Allowances |
Made inactive by SR-16-9. Outdated announcement. |
| SR-99-3 |
Supervisory Guidance Regarding Counterparty Credit Risk Management |
|
| SR-98-38 |
Interagency Policy Statement on Income Tax Allocation in a Holding
Company Structure |
|
| SR-98-25 |
Sound Credit Risk Management and the Use of Internal Credit Risk
Ratings at Large Banking Organizations |
|
| SR-98-12 |
FFIEC Policy Statement on Investment Securities and End-User Derivatives
Activities |
|
| SR-98-9 |
Assessment of Information Technology in the Risk-Focused Frameworks
for the Supervision of Community Banks and Large Complex Banking Organizations |
|
| SR-97-24 |
Risk-Focused Framework for Supervision of Large Complex Institutions |
Made inactive by SR-21-4 / CA 21-2, “Inactive or Revised SR
Letters Related to the Federal Reserve’s Supervisory Expectations
for a Firm’s Boards of Directors.” |
| SR-97-21 |
Risk Management and Capital Adequacy of Exposures Arising from Secondary
Market Credit Activities |
Made inactive by SR-21-4 / CA 21-2. |
| SR-97-18 |
Application of Market Risk Capital Requirements to Credit Derivatives |
Made inactive by SR-16-9. Outdated. Refer to the Board’s regulatory
capital rules at 12 CFR part 217 (Regulation Q). |
| SR-97-17 |
Access to Books and Records of Financial Institutions During Examinations
and Inspections |
|
| SR-97-10 |
Guidance on Protested Proposals |
|
| SR-97-5 |
Policy Statement on Interagency Notification and Coordination of
Enforcement Actions |
Made inactive by SR-18-4 / CA 18-5, “Policy Statement on Interagency
Notification of Formal Enforcement Actions.” |
| SR-97-3 |
Conversion of Common Trust Funds to Mutual Funds |
|
| SR-96-37 |
Supervisory Guidance on Required Absences from Sensitive Positions |
|
| SR-96-28 |
Subchapter S Election for Federal Income Taxes |
|
| SR-96-26 |
Provision of Individual Components of Supervisory Rating Systems
to Management and Boards of Directors |
|
| SR-96-21 |
FDIC Final Rule Regarding “Golden Parachutes” and Indemnification
Payments |
Made inactive by SR-16-9. Outdated announcement about changes in
another agency’s regulations. Refer to FDIC rules at 12 CFR
part 369. |
| SR-96-14 |
Risk-Focused Safety and Soundness Examinations and Inspections |
|
| SR-96-13 |
Joint Policy Statement on Interest Rate Risk |
|
| SR-96-10 |
Risk-Focused Fiduciary Examinations |
|
| SR-96-4 |
FDIC Amendment to Annual Audit and Reporting Requirements (Part
363) |
Made inactive by SR-16-9. Outdated announcement about changes in
another agency’s regulations. Refer to FDIC rules at 12 CFR
part 363. |
| SR-95-49 |
Addition to the “Report on the Target Inspections of Management
Information Systems” |
Made inactive by SR-16-9. Outdated. Refer to sections 5050 and 5052
of the Bank Holding Company Supervision Manual. See also the FFIEC IT Handbook available at www.ffiec.gov. |
| SR-95-46 |
Interpretation of Interagency Statement on Retail Sales of Nondeposit
Investment Products |
|
| SR-95-45 |
Inspections of Management Information Systems |
Made inactive by SR-16-9. Outdated. Refer to sections 5050 and 5052
of the Bank Holding Company Supervision Manual. See also the FFIEC IT Handbook available at www.ffiec.gov. |
| SR-95-40 |
Interagency Statement on Guidelines for Relying on State Examinations |
|
| SR-95-38 |
Supervisory Guidance related to FASB Statement No. 114 |
|
| SR-95-34 |
Sharing of Facilities and Staff by Banking Organizations |
|
| SR-95-32 |
Amendment to the Board’s Anti-Tying Rules— A “Combined-Balance
Discount” Safe Harbor |
Made inactive by SR-16-9. Outdated announcement about a change to
a Board regulation. Refer to 12 CFR 225.7, “Exceptions to tying
restrictions.” |
| SR-95-19 |
Revisions to Guidance on Meetings with Boards of Directors |
|
| SR-95-18 |
Section 309 of the Riegle Community Development and Regulatory Improvement
Act of 1994, Intra-Agency Appeals Process |
Made inactive by SR-20-28 / CA 20-14, “Internal Appeals Process
for Material Supervisory Determinations and Policy Statement Regarding
the Ombudsman for the Federal Reserve System.” |
| SR-94-53 |
Investment Adviser Activities |
|
| SR-94-5 |
Government Securities Act Amendments of 1993 |
|
| SR-94-3 |
Supervisory Guidance on the Implementation of Section 112 of the
FDIC Improvement Act |
|
| SR-93-72 |
Guidance on the Capital Treatment and Other Issues Relating to
the Financial Accounting Standards Board Statement No. 115, “Accounting
for Certain Investments in Debt and Equity Securities” |
Made inactive by SR-16-9. Outdated. Refer to the instructions to
the FR Y-9 series of reports for holding companies. |
| SR-93-69 |
Examining Risk Management and Internal Controls for Trading Activities
of Banking Organizations |
Made inactive by SR-21-4 / CA 21-2. |
| SR-93-37 |
Split-Dollar Life Insurance |
|
| SR-93-19 |
Supplemental Guidance for the Inspection of Nonbank Subsidiaries
of Bank Holding Companies |
|
| SR-93-13 |
Violations of Federal Reserve Margin Regulations in Custodial Agency
Accounts Resulting from “Free-Riding” Schemes |
|
| SR-92-28 |
Interagency Guidance on Coordination and Communication Between External
Auditors and Examiners |
|
| SR-92-11 |
Asset-Backed Commercial Paper Programs |
Made inactive by SR-16-9. Outdated. Refer to the Board’s regulatory
capital rules at 12 CFR part 217 (Regulation Q). |
| SR-91-4 |
Guidelines for the Inspection of Investment Adviser Subsidiaries
of Bank Holding Companies |
|
| SR-90-38 |
The Comprehensive Thrift and Bank Fraud Prosecution and Taxpayer
Recovery Act of 1990 |
Made inactive by SR-16-9. Outdated announcement about new legislation. |
| SR-90-31 |
Bank Holding Company Funding from Sweep Accounts |
|
| SR-90-22 |
Policy Statement on the Use of “Points”in Settling Foreign
Exchange Contracts |
Made inactive by SR-21-4 / CA 21-2. |
| SR-90-21 |
Rating System for International Examinations |
|
| SR-90-19 |
Sale of Uninsured Debt Obligations and Securities Issued by Bank
Holding Companies, Nonbank Affiliates, or State Member Banks on Retail
Banking Premises |
|
| SR-90-16 |
Implementation of Examination Guidelines for the Review of Asset
Securitization Activities |
Made inactive by SR-21-4 / CA 21-2. |
