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Resources for bankers

Asset Management Issuances

Comptroller's Handbook Booklets, Asset Management Series

Other Comptroller's Handbook Booklets


Laws & Regulations


OCC Bulletins

10/10/2012  OCC 2012-31, Short-Term Investment Funds: Final Rule
03/29/2011  OCC 2011-11, Collective Investment Funds: Risk Management Elements: Collective Investment Funds and Outsourced Arrangements
09/20/2010  OCC 2010-37, Self-Deposit of Fiduciary Funds
06/17/2009  OCC 2009-19, New Notice Requirements for Sweep Accounts 12
03/27/2008  OCC 2008-10, Annual Reviews of Fiduciary Accounts Pursuant to 12 CFR 9.6(c)
03/06/2008  OCC 2008-5, Conflicts of Interest: Risk Management Guidance-Divestiture of Certain Asset Management Businesses
10/29/2007  OCC 2007-42, Bank Securities Activities: SEC’s and Federal Reserve’s Final Regulation R
06/26/2007  OCC 2007-21, Supervision of National Trust Banks: Revised Guidance: Capital and Liquidity
02/05/2007  OCC 2007-7, Soft Dollar Guidance: Use of Commission Payments by Fiduciaries
01/25/2007  OCC 2007-6, Registered Transfer Agents: Transfer Agent Registration, Annual Reporting, and Withdrawal from Registration
06/01/2006  OCC 2006-24, Interagency Agreement on ERISA Referrals
01/05/2004  OCC 2004-2, Banks/Thrifts Providing Financial Support to Funds Advised by the Banking Organization or its Affiliates
10/16/2002  OCC 2002-39, Investment Portfolio Credit Risks: Safekeeping Arrangements
05/15/1997  OCC 1997-22, Fiduciary Activities of National Banks – Q & As 12 CFR 9
04/30/1996  OCC 1996-25, Fiduciary Risk Management of Derivatives & Mortgage-backed Securities
09/22/1995  OCC 1995-52, Retail Sales of Non-deposit Investments – Interagency Statement
02/24/1994  OCC 1994-13, Non-deposit Investment Sales Examination Procedures

Banking Circulars

10/27/1993  BC-277, Risk Management of Financial Derivatives
09/03/1993  BC-275, Free Riding in Custody Accounts
09/12/1990  BC-247, Application of Securities Laws to Common Trust Funds
05/10/1989  BC-235, International Payment Systems Risk
05/07/1985  BC-196, Securities Lending FFIEC Statement

Interpretive Letters

IL 1126 Purchase of Auction Rate Securities
IL 1121 CIF Distribution Delay due to Illiquid Assets
IL 1120 Index & Model-driven CIF - Fees
IL 1119 Index & Model-drive CIF - Benchmarks
IL 1115 Purchase of Auction Rate Securities
IL 1111 Waiver from 12 CFR 12 Confirmation Requirement
IL 1106 Fiduciary Activities in the states of Georgia, South Carolina and Florida
IL 1103 Fiduciary Activities in the state of North Carolina
IL 1080 Fiduciary Powers in state of Missouri
IL 1078 Custody Trust Ledger Deposit Account Program
IL 1066 Risk based capital treatment for certain securities lending transactions
IL 1062 Reporting of Personal Transactions in Securities
IL 1047 Authority of a National Bank Trust Company to Sponsor a Closed-end Fund and Investment in Fund Shares under 12 CFR 1.3(h)(2)
IL 1037 Authority to Hedge Investment Advisory Fees
IL 1031 Creation of a trust to hold investments
IL 1029 Waiver of certain Provisions of 12 CFR 12
IL 1026 Securities Conduit Lending Services
IL 1016 Indenture Trustee Pre-emption Issue
IL 1017 Interest on NOW Accounts
IL 1011 Waiver of Beneficial Owner Reporting under 12 CFR 12
IL 995 Multi-state Fiduciary Activities
IL 973 Federal trust powers of a national bank
IL 971 OCC supervision of operating subsidiaries
IL 969 Pooling of fiduciary accounts and self-deposit them in collective fund
IL 967 Insurance Subsidiaries & Risk Management Services
IL 920 Annual admissions and withdrawals are permitted under 12 C.F.R. § 9.18
IL 919 Cross-Trade Exemption From DOL on Model-Driven funds
IL 884 Non-Discretionary Custodian for Collective Investment Funds
IL 841 Common Trust Funds – Method of Distribution
IL 734 IRAs in Registered Common Trust Funds
Letter | Part II

Other References