3
SECTION 1.〓SHORT TITLE;TABLE OF CONTENTS. 2
SEC. 2.〓DEFINITIONS.2
SEC. 3.〓SEVERABILITY.10
SEC. 4.〓EFFECTIVE DATE.12
SEC. 5.〓BUDGETARY EFFECTS.12
SEC. 6.〓ANTITRUST SAVINGS CLAUSE.12
TITLE I—FINANCIAL STABILITY14
SEC. 101.〓SHORT TITLE.14
SEC. 102.〓DEFINITIONS.14
Subtitle A—Financial Stability Oversight Council18
SEC. 111.〓FINANCIAL STABILITY OVERSIGHT COUNCIL ESTABLISHED.18
SEC. 112.〓COUNCIL AUTHORITY.22
SEC. 113.〓AUTHORITY TO REQUIRE SUPERVISION AND REGULATION OF
CERTAIN NONBANK FINANCIAL COMPANIES.30
SEC. 114.〓REGISTRATION OF NONBANK FINANCIAL COMPANIES
SUPERVISED BY THE BOARD OF GOVERNORS.40
SEC. 115.〓ENHANCED SUPERVISION AND PRUDENTIAL STANDARDS FOR
NONBANK FINANCIAL COMPANIES SUPERVISED BY THE BOARD
OF GOVERNORS AND CERTAIN BANK HOLDING COMPANIES.40
SEC. 116.〓REPORTS.48
SEC. 117.〓TREATMENT OF CERTAIN COMPANIES THAT CEASE TO BE
BANK HOLDING COMPANIES.48
SEC. 118.〓COUNCIL FUNDING.52
SEC. 119.〓RESOLUTION OF SUPERVISORY JURISDICTIONAL DISPUTES
AMONG MEMBER AGENCIES.52
SEC. 120.〓ADDITIONAL STANDARDS APPLICABLE TO ACTIVITIES OR
PRACTICES FOR FINANCIAL STABILITY PURPOSES.54
SEC. 121.〓MITIGATION OF RISKS TO FINANCIAL STABILITY.56
SEC. 122.〓GAO AUDIT OF COUNCIL.60
SEC. 123.〓STUDY OF THE EFFECTS OF SIZE AND COMPLEXITY OF
FINANCIAL INSTITUTIONS ON CAPITAL MARKET EFFICIENCY
AND ECONOMIC GROWTH.60
Subtitle B—Office of Financial Research62
SEC. 151.〓DEFINITIONS.62
SEC. 152.〓OFFICE OF FINANCIAL RESEARCH ESTABLISHED.64
SEC. 153.〓PURPOSE AND DUTIES OF THE OFFICE.68
SEC. 154.〓ORGANIZATIONAL STRUCTURE; RESPONSIBILITIES OF
PRIMARY PROGRAMMATIC UNITS.72
SEC. 155.〓FUNDING.76
SEC. 156.〓TRANSITION OVERSIGHT.78
Subtitle C—Additional Board of Governors Authority for Certain Nonbank
Financial Companies and Bank Holding Companies80
SEC. 161.〓REPORTS BY AND EXAMINATIONS OF NONBANK FINANCIAL
COMPANIES BY THE BOARD OF GOVERNORS.80
SEC. 162.〓ENFORCEMENT.84
SEC. 163.〓ACQUISITIONS.84
SEC. 164.〓PROHIBITION AGAINST MANAGEMENT INTERLOCKS BETWEEN
CERTAIN FINANCIAL COMPANIES.86
SEC. 165.〓ENHANCED SUPERVISION AND PRUDENTIAL STANDARDS
FOR NONBANK FINANCIAL COMPANIES SUPERVISED BY
THE BOARD OF GOVERNORS AND CERTAIN BANK
HOLDING COMPANIES.88
SEC. 166.〓EARLY REMEDIATION REQUIREMENTS.108
SEC. 167.〓AFFILIATIONS.108
SEC. 168.〓REGULATIONS.112
SEC. 169.〓AVOIDING DUPLICATION.112
SEC. 170.〓SAFE HARBOR.114
SEC. 171.〓LEVERAGE AND RISK-BASED CAPITAL REQUIREMENTS.114
SEC. 172.〓EXAMINATION AND ENFORCEMENT ACTIONS FOR INSURANCE
AND ORDERLY LIQUIDATION PURPOSES.122
SEC. 173.〓ACCESS TO UNITED STATES FINANCIAL MARKET BY FOREIGN
INSTITUTIONS.124
SEC. 174.〓STUDIES AND REPORTS ON HOLDING COMPANY CAPITAL
REQUIREMENTS.126
SEC. 175.〓INTERNATIONAL POLICY COORDINATION.130
SEC. 176.〓RULE OF CONSTRUCTION.130
TITLE II—ORDERLY LIQUIDATION AUTHORITY132
SEC. 201.〓DEFINITIONS.132
SEC. 202.〓JUDICIAL REVIEW.136
SEC. 203.〓SYSTEMIC RISK DETERMINATION.148
SEC. 204.〓ORDERLY LIQUIDATION OF COVERED FINANCIAL COMPANIES.158
SEC. 205.〓ORDERLY LIQUIDATION OF COVERED BROKERS AND DEALERS.162
SEC. 206.〓MANDATORY TERMS AND CONDITIONS FOR ALL ORDERLY
LIQUIDATION ACTIONS.168
SEC. 207.〓DIRECTORS NOT LIABLE FOR ACQUIESCING IN APPOINTMENT
OF RECEIVER.168
SEC. 208.〓DISMISSAL AND EXCLUSION OF OTHER ACTIONS.168
SEC. 209.〓RULEMAKING;NON-CONFLICTING LAW.170
SEC. 210.〓POWERS AND DUTIES OF THE CORPORATION.170
SEC. 211.〓MISCELLANEOUS PROVISIONS.284
SEC. 212.〓PROHIBITION OF CIRCUMVENTION AND PREVENTION OF
CONFLICTS OF INTEREST.290
SEC. 213.〓BAN ON CERTAIN ACTIVITIES BY SENIOR EXECUTIVES AND
DIRECTORS.290
SEC. 214.〓PROHIBITION ON TAXPAYER FUNDING.292
SEC. 215.〓STUDY ON SECURED CREDITOR HAIRCUTS.294
SEC. 216.〓STUDY ON BANKRUPTCY PROCESS FOR FINANCIAL AND
NONBANK FINANCIAL INSTITUTIONS.294
SEC. 217.〓STUDY ON INTERNATIONAL COORDINATION RELATING TO
BANKRUPTCY PROCESS FOR NONBANK FINANCIAL
INSTITUTIONS.296
TITLE III—TRANSFER OF POWERS TO THE COMPTROLLER
OF THE CURRENCY,THE CORPORATION,AND
THE BOARD OF GOVERNORS298
SEC. 300.〓SHORT TITLE.298
SEC. 301.〓PURPOSES.298
SEC. 302.〓DEFINITION.298
Subtitle A—Transfer of Powers and Duties298
SEC. 311.〓TRANSFER DATE.298
SEC. 312.〓POWERS AND DUTIES TRANSFERRED.300
SEC. 313.〓ABOLISHMENT.304
SEC. 314.〓AMENDMENTS TO THE REVISED STATUTES.304
SEC. 315.〓FEDERAL INFORMATION POLICY.306
SEC. 316.〓SAVINGS PROVISIONS.306
SEC. 317.〓REFERENCES IN FEDERAL LAW TO FEDERAL BANKING
AGENCIES.312
SEC. 318.〓FUNDING.312
SEC. 319.〓CONTRACTING AND LEASING AUTHORITY.316
Subtitle B—Transitional Provisions316
SEC. 321.〓INTERIM USE OF FUNDS,PERSONNEL,AND PROPERTY OF
THE OFFICE OF THRIFT SUPERVISION.316
SEC. 322.〓TRANSFER OF EMPLOYEES.318
SEC. 323.〓PROPERTY TRANSFERRED.332
SEC. 324.〓FUNDS TRANSFERRED.334
SEC. 325.〓DISPOSITION OF AFFAIRS.334
SEC. 326.〓CONTINUATION OF SERVICES. 336
SEC. 327.〓IMPLEMENTATION PLAN AND REPORTS.336
Subtitle C—Federal Deposit Insurance Corporation338
SEC. 331.〓DEPOSIT INSURANCE REFORMS.338
SEC. 332.〓ELIMINATION OF PROCYCLICAL ASSESSMENTS.340
SEC. 333.〓ENHANCED ACCESS TO INFORMATION FOR DEPOSIT
INSURANCE PURPOSES.340
SEC. 334.〓TRANSITION RESERVE RATIO REQUIREMENTS TO REFLECT
NEW ASSESSMENT BASE.342
SEC. 335.〓PERMANENT INCREASE IN DEPOSIT AND SHARE INSURANCE.342
SEC. 336.〓MANAGEMENT OF THE FEDERAL DEPOSIT INSURANCE
CORPORATION.344
Subtitle D—Other Matters344
SEC. 341.〓BRANCHING.344
SEC. 342.〓OFFICE OF MINORITY AND WOMEN INCLUSION.346
SEC. 343.〓INSURANCE OF TRANSACTION ACCOUNTS.352
Subtitle E—Technical and Conforming Amendments358
SEC. 351.〓EFFECTIVE DATE.358
SEC. 352.〓BALANCED BUDGET AND EMERGENCY DEFICIT CONTROL
ACT OF 1985.358
SEC. 353.〓BANK ENTERPRISE ACT OF 1991.358
SEC. 354.〓BANK HOLDING COMPANY ACT OF 1956.358
SEC. 355.〓BANK HOLDING COMPANY ACT AMENDMENTS OF 1970.360
SEC. 356.〓BANK PROTECTION ACT OF 1968.360
SEC. 357.〓BANK SERVICE COMPANY ACT.362
SEC. 358.〓COMMUNITY REINVESTMENT ACT OF 1977.362
SEC. 359.〓CRIME CONTROL ACT OF 1990.362
SEC. 360.〓DEPOSITORY INSTITUTION MANAGEMENT INTERLOCKS ACT.364
SEC. 361.〓EMERGENCY HOMEOWNERS’ RELIEF ACT.366
SEC. 362.〓FEDERAL CREDIT UNION ACT.366
SEC. 363.〓FEDERAL DEPOSIT INSURANCE ACT.366
SEC. 364.〓FEDERAL HOME LOAN BANK ACT.378
SEC. 365.〓FEDERAL HOUSING ENTERPRISES FINANCIAL SAFETY AND
SOUNDNESS ACT OF 1992.378
SEC. 366.〓FEDERAL RESERVE ACT.380
SEC. 367.〓FINANCIAL INSTITUTIONS REFORM,RECOVERY,AND
ENFORCEMENT ACT OF 1989.380
SEC. 368.〓FLOOD DISASTER PROTECTION ACT OF 1973.382
SEC. 369.〓HOME OWNERS’ LOAN ACT.384
SEC. 370.〓HOUSING ACT OF 1948.400
SEC. 371.〓HOUSING AND COMMUNITY DEVELOPMENT ACT OF 1992.400
SEC. 372.〓HOUSING AND URBAN-RURAL RECOVERY ACT OF 1983.400
SEC. 373.〓NATIONAL HOUSING ACT.402
SEC. 374.〓NEIGHBORHOOD REINVESTMENT CORPORATION ACT.402
SEC. 375.〓PUBLIC LAW 93-100.402
SEC. 376.〓SECURITIES EXCHANGE ACT OF 1934.402
SEC. 377.〓TITLE 18,UNITED STATES CODE.408
SEC. 378.〓TITLE 31,UNITED STATES CODE.410
TITLE IV—REGULATION OF ADVISERS TO HEDGE FUNDS
AND OTHERS412
SEC. 401.〓SHORT TITLE.412
SEC. 402.〓DEFINITIONS.412
SEC. 403.〓ELIMINATION OF PRIVATE ADVISER EXEMPTION;LIMITED
EXEMPTION FOR FOREIGN PRIVATE ADVISERS;LIMITED
INTRASTATE EXEMPTION.414
SEC. 404.〓COLLECTION OF SYSTEMIC RISK DATA;REPORTS;
EXAMINATIONS;DISCLOSURES.416
SEC. 405.〓DISCLOSURE PROVISION AMENDMENT.420
SEC. 406.〓CLARIFICATION OF RULEMAKING AUTHORITY.420
SEC. 407.〓EXEMPTION OF AND REPORTING BY VENTURE CAPITAL
FUND ADVISERS.422
SEC. 408.〓EXEMPTION OF AND REPORTING BY CERTAIN PRIVATE
FUND ADVISERS.422
SEC. 409.〓FAMILY OFFICES.424
SEC. 410.〓STATE AND FEDERAL RESPONSIBILITIES;ASSET THRESHOLD
FOR FEDERAL REGISTRATION OF INVESTMENT ADVISERS.426
SEC. 411.〓CUSTODY OF CLIENT ASSETS.426
SEC. 412.〓COMPTROLLER GENERAL STUDY ON CUSTODY RULE COSTS.428
SEC. 413.〓ADJUSTING THE ACCREDITED INVESTOR STANDARD.428
SEC. 414.〓RULE OF CONSTRUCTION RELATING TO THE COMMODITIES
EXCHANGE ACT.430
SEC. 415.〓GAO STUDY AND REPORT ON ACCREDITED INVESTORS.430
SEC. 416.〓GAO STUDY ON SELF-REGULATORY ORGANIZATION FOR
PRIVATE FUNDS.430
SEC. 417.〓COMMISSION STUDY AND REPORT ON SHORT SELLING.432
SEC. 418.〓QUALIFIED CLIENT STANDARD.432
SEC. 419.〓TRANSITION PERIOD.432
TITLE V—INSURANCE436
Subtitle A—Federal Insurance Office436
SEC. 501.〓SHORT TITLE.436
SEC. 502.〓FEDERAL INSURANCE OFFICE.436
Subtitle B—State-Based Insurance Reform456
SEC. 511.〓SHORT TITLE.456
SEC. 512.〓EFFECTIVE DATE.456
PART I—NONADMITTED INSURANCE456
SEC. 521.〓REPORTING,PAYMENT,AND ALLOCATION OF PREMIUM TAXES.456
SEC. 522.〓REGULATION OF NONADMITTED INSURANCE BY INSURED’S
HOME STATE.458
SEC. 523.〓PARTICIPATION IN NATIONAL PRODUCER DATABASE.458
SEC. 524.〓UNIFORM STANDARDS FOR SURPLUS LINES ELIGIBILITY.460
SEC. 525.〓STREAMLINED APPLICATION FOR COMMERCIAL PURCHASERS.460
SEC. 526.〓GAO STUDY OF NONADMITTED INSURANCE MARKET.460
SEC. 527.〓DEFINITIONS.462
PART II—REINSURANCE468
SEC. 531.〓REGULATION OF CREDIT FOR REINSURANCE AND
REINSURANCE AGREEMENTS.468
SEC. 532.〓REGULATION OF REINSURER SOLVENCY.470
SEC. 533.〓DEFINITIONS.470
PART III—RULE OF CONSTRUCTION472
SEC. 541.〓RULE OF CONSTRUCTION.472
SEC. 542.〓SEVERABILITY.472
TITLE VI—IMPROVEMENTS TO REGULATION OF BANK AND
SAVINGS ASSOCIATION HOLDING COMPANIES AND
DEPOSITORY INSTITUTIONS474
SEC. 601.〓SHORT TITLE.474
SEC. 602.〓DEFINITION.474
SEC. 603.〓MORATORIUM AND STUDY ON TREATMENT OF CREDIT
CARD BANKS,INDUSTRIAL LOAN COMPANIES,AND CERTAIN
OTHER COMPANIES UNDER THE BANK HOLDING COMPANY
ACT OF 1956.474
SEC. 604.〓REPORTS AND EXAMINATIONS OF HOLDING COMPANIES;
REGULATION OF FUNCTIONALLY REGULATED SUBSIDIARIES.480
SEC. 605.〓ASSURING CONSISTENT OVERSIGHT OF PERMISSIBLE
ACTIVITIES OF DEPOSITORY INSTITUTION SUBSIDIARIES
OF HOLDING COMPANIES.490
SEC. 606.〓REQUIREMENTS FOR FINANCIAL HOLDING COMPANIES TO
REMAIN WELL CAPITALIZED AND WELL MANAGED.496
SEC. 607.〓STANDARDS FOR INTERSTATE ACQUISITIONS.498
SEC. 608.〓ENHANCING EXISTING RESTRICTIONS ON BANK
TRANSACTIONS WITH AFFILIATES.498
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