Materials Incorporated by Reference in Rules

69U-100 - Financial Institutions Generally

Rule NumberTitleFederal/Other Citations Found in the Rule
69U-100.002 Scope (Repealed)No references. Repealed.
69U-100.003 Definitions12 CFR s 204.125 (1-1-2020)
69U-100.004 NotificationNo references.
69U-100.005 Florida Control of Money Laundering and Terrorist Financing in Financial InstitutionsForm OFR-U-CTR

Form OFR-U-SAR
Form OFR-U SAR and CTR- Reports and Timely Filing
69U-100.03852 Disapproval of Directors or Executive OfficersForm OFR-U-10 effective 01-2021
Notice Regarding the Collection and Use of Social Security Numbers
Form OFR-U-10A
69U-100.045 Examination Manuals and Referenced StandardsOffice of Financial Regulation, State Credit Union Examination Manual (11/3/2014)
Federal Deposit Insurance Corporation Trust Examination Manual (4/2018)
National Credit Union Administration Examiner's Guide Part 1(5/2018)
National Credit Union Administration Examiner's Guide Part 2(5/2018)
Federal Financial Institutions Examination Council, Bank Secrecy Act/Anti-Money laundering Manual
Federal Deposit Insurance Corporation, RMS Manual of Examination Policies (8/2020)
Federal Financial Institutions Examination Council, Information Technology Examination Handbook, Information Security (9/2016)
FRB Examination Manual for U.S. Branches and Agencies of Foreign Banking Organizations (09/1997)
Federal Financial Institutions Examination Council, Cybersecurity Assessment Tool (5/2017)
69U-100.0451 Unsafe and Unsound Examination FeesNo references.
69U-100.057 Public Records RequestsNo references.
69U-100.067 Subsidiaries Holding Institution-authorized AssetsNo references.
69U-100.100 Authority, Purpose, and ScopeNo references.
69U-100.101 Definitions Concerning Debt Cancellation ProductsNo references.
69U-100.102 Prohibited PracticesNo references.
69U-100.103 RefundsNo references.
69U-100.104 Method of Payment or FeesNo references.
69U-100.105 DisclosuresNo references.
69U-100.106 Affirmative Election to Purchase and Acknowledgement of Receipt of Disclosures RequiredNo references.
69U-100.323Attestation of Compliance 655.0323 Unsafe and Unsound PracticesForm OFR-U-323
69U-100.3231Complaint Review Process
69U-100.600 Appraisals, and Appraisal Standards and Policies of State Financial InstitutionsNo references.
69U-100.948 Reporting of Significant Events or ConditionsNo references.
69U-100.956 Conflict of Interest PolicyOFR APP 1-2
DFS APP 1-15
69U-100.963 Automated Teller Machines and the Disclosure of Safety InformationNo references.
69U-100.964Transactions Relating to Iran or TerrorismOFAC 31 C.F.R. Part 561 Subpart B
OFAC 31 C.F.R. Part 561 Subpart C
OFAC 31 C.F.R. Part 561 Subpart D

69U-105 - Licensing and Chartering of Financial Institutions

Rule NumberTitleFederal/Other Citations Found in the Rule
69U-105.001 DefinitionsNo references.
69U-105.101 ScopeNo references.
69U-105.102 ApplicationForm OFR-U-4
Form OFR-U-17
Form OFR-U-19
69U-105.103 Publication of Notice of Receipt or Withdrawal of ApplicationNo references.
69U-105.104 Petition for Public HearingNo references.
69U-105.105 Publication of Notice of HearingNo references.
69U-105.106 Participants in ProceedingNo references.
69U-105.107 Computation of TimeNo references.
69U-105.108 Extension of TimeNo references.
69U-105.109 Notice, Filing, ServiceNo references.
69U-105.110 Post-Evidentiary ProceduresNo references.
69U-105.111 Final OrdersNo references.
69U-105.112 RecordNo references.
69U-105.113 Coordination with Federal and Other AgenciesNo references.
69U-105.114 ReconsiderationNo references.
69U-105.201 ScopeNo references.
69U-105.202 ApplicationNo references.
69U-105.205 Organization ExpensesNo references.
69U-105.206 Regulatory Standards for Evaluating ApplicationsNo references.
69U-105.207 Coordination with Federal Regulatory Agencies and Department of StateNo references.
69U-105.208 Relocation of Opened State Financial Institutions and Redesignation of Main Office or Branch OfficeNo references.
69U-105.209 OpeningNo references.
69U-105.210 Standards for the Initial Offering Circular or Memorandum of State Financial InstitutionsNo references.
69U-105.401 ScopeNo references.
69U-105.402 ApplicationForm OFR U-16
69U-105.405 Regulatory Standards for Evaluating ApplicationsNo references.
69U-105.406 Relocation of Established Branch Offices, Main Office or Branch OfficeNo references.
69U-105.407 Branch Office ClosingNo references.
69U-105.408 Timeframes for ProcessingNo references.
69U-105.409 Mobile Banking Units, Account Service Representatives, and Courier ServicesNo references.
69U-105.501 ScopeNo references.
69U-105.502 Procedural Rules for Processing ApplicationsNo references.
69U-105.503 ApplicationNo references.
69U-105.505 Regulatory Standards for Evaluating ApplicationsNo references.
69U-105.506 Final OrderNo references.
69U-105.507 Deposit of Securities with Chief Financial OfficerNo references.
69U-105.601 ScopeNo references.
69U-105.602 Compliance with Applicable Federal LawsNo references.
69U-105.603 Merger ApplicationsNo references.
69U-105.605 Examination of Federal Financial InstitutionsNo references.
69U-105.606 Main Offices, Branch Offices, and Trust Departments of Constituent Financial InstitutionsNo references.
69U-105.607 Approval by OFRNo references.
69U-105.608 Successor InstitutionNo references.
69U-105.609 Coordination with Federal Regulatory AgenciesNo references.
69U-105.610 Certificate of MergerNo references.
69U-105.611 Purchase and Assumption ApplicationsNo references.
69U-105.701 ScopeNo references.
69U-105.702 Procedural Rules for Processing ApplicationsNo references.
69U-105.703 ApplicationForm OFR-U-4
Form OFR-U-17
Form OFR-U-19
69U-105.706 Resulting Financial Entity’s Capital Structure and ManagementNo references.
69U-105.707 Termination of NonconformanceNo references.
69U-105.708 Cancellation of Charter CertificatesNo references.

69U-110 - State Credit Unions

Rule NumberTitleFederal/Other Citations Found in the Rule
69U-110.002 Definitions (Repealed)No references. Repealed. 
69U-110.005 Application and Filing FeeNo references.
69U-110.0061 BylawsNo references.
69U-110.008 BranchesNo references.
69U-110.021 Notification to OFR after Elections or Appointments12 CFR 741.6 and Form OFR U-21
69U-110.0211 Liability and Bond Insurance12 C.F.R. §§ 741.3(d) and 741.201(a)
69U-110.0212 PoliciesNo references.
69U-110.026 Supervisory/Audit Committee; Audit12 C.F.R. § 741.202
69U-110.031 Powers12 C.F.R. § 701.37
69U-110.038 Applications for Credit (Repealed)No references. Repealed. 
69U-110.0381 Loans Secured by Real EstateNo references.
69U-110.0382 Credit Cards (Repealed)No references. Repealed. 
69U-110.042 Investments (Repealed)No references. Repealed. 
69U-110.043 ReservesNo references.
69U-110.0431 Depletion of Regular Reserves (Repealed)No references. Repealed. 
69U-110.0432 Equity Plan Requirements (Repealed)No references. Repealed. 
69U-110.044 Accounting Practices (Repealed)No references. Repealed. 
69U-110.045 Reports to OFRNo references.
69U-110.050 Currency Reporting Compliance Requirements (Repealed)No references. Repealed. 
69U-110.053 Credit Union AssessmentsNo references.
69U-110.062 Capitalization Criteria for Conservatorship or Involuntary Liquidation Actions12 U.S.C. § 1790d(c)

12 C.F.R. Part 702
69U-110.063 Credit Unions Liquidation Certificate and Maintenance of RecordsForm OFR U-69
69U-110.065 MergerNo references.
69U-110.066 ConversionNo references.
69U-110.068 Central Credit Unions (Repealed)No references. Repealed. 

69U-120 - Banks, Trust Companies, Savings Banks and Associations

Rule NumberTitleFederal/Other Citations Found in the Rule
69U-120.001 List of StockholdersNo references.
69U-120.003 Stock Options; Requirements for OFR Approval; Stock Bonuses ProhibitedNo references.
69U-120.004 Loans Secured by Secondary Liens on Real EstateNo references.
69U-120.005 Lease Financing; Purchase of LeasesNo references.
69U-120.006 Undivided Profits; Loan and Investment LimitationsNo references.
69U-120.008 Borrowing – Obligations to Repurchase Certain Securities SoldNo references.
69U-120.009 Securities Purchasable by Banks; Investment CharacteristicsNo references.
69U-120.045 Minimum Internal Audit ProceduresNo references.
69U-120.0451 Financial ReportsForm OFR-U-130A Consolidated Financial Reports for Non-Deposit Trust Companies (rev. 04.2021)
12 U.S.C. §§324 
12 U.S.C. §§1817
69U-120.330List of Directors and Officers; Director’s OathForm OFR-U-658-List, List of Directors and Officers (effective 01/2021)
Form OFR-U-658-Oath, Director’s Oath (effective 01/2021)
69U-120.670 Investments/Deposits in Foreign Banks12 C.F.R. § 324.32(d)(2) (1-1-2020 Edition)
69U-120.680 Daily Liquidity (Repealed)No references. Repealed.
69U-120.730 Bank and Trust Company AssessmentsNo references.

69U-130 - International Trust Company Representative Offices

Rule NumberTitleFederal/Other Citations Found in the Rule
69U-130.101DefinitionsNo references.
69U-130.102ApplicationsForm OFR-U-20D
Form OFR-U-20D ABR
18 U.S.C. 2721, Federal Driver's Privacy Protection Act of 1994
15 U.S.C. 1681, Fair Credit Reporting Act
15 U.S.C. 6801, Financial Services Modernization Act of 1999
69U-130.104ReciprocityNo references.
69U-130.105Principles of Adequate Supervision of an International Trust Entity’s Foreign EstablishmentsNo references.
69U-130.106Capital AccountsForm OFR-U-57T
69U-130.107Surrender of LicenseNo references.
69U-130.109Interim Operational PlanNo references.
69U-130.110Examination FeesNo references.

69U-135 - Qualified Limited Service Affiliates of International Trust Entities

Rule NumberTitleFederal/Other Citations Found in the Rule
69U-135.101Written Notice for QualificationForm OFR-U-135
69U-135.102Renewal of QualificationForm OFR-U-135R
69U-135.103Procedures for Surrender of QualificationNo references.

69U-140 - International Banks

Rule NumberTitleFederal/Other Citations Found in the Rule
69U-140.002 ApplicationsInteragency Biographical and Financial Report FR 2081c
Form OFR-U-20C
Form OFR-U-20E
Form OFR-U-20
Form OFR-U-20 ABR
Form OFR-U-20A
Form OFR-U-20A ABR
Form OFR-U-20B
69U-140.003 Principles of Adequate Supervision of an International Banking Corporation’s Foreign EstablishmentsNo references.
69U-140.004 Application for the Establishment of Separate International Banking Agencies by a Qualified International Banking Corporation (Repealed)No references.
69U-140.0045Interim Operational PlansNo references.
69U-140.005 Surrender of LicenseNo references.
69U-140.006 Investment ServicesNo references.
69U-140.008 Permissible Activities for an International Bank AgencyEdge Act, 12 U.S.C. sections 611-631
69U-140.015 Capital Equivalency or Asset MaintenanceForm OFR U-29, Form OFR U-52, Form OFR U-50
69U-140.016Capital Accounts and Capital Ratio StandardsNo references.
69U-140.017 AcceptancesNo references.
69U-140.018 Minimum Audit Procedures – International Bank AgenciesNo references.
69U-140.019 Financial ReportsNo references.
69U-140.020 Semiannual AssessmentNo references.
69U-140.022 Service of Process (Repealed)No references. Repealed.
69U-140.023 ReciprocityNo references.
69U-140.120 Examination FeesNo references.

69U-150 - Savings Associations

Rule Number Title Federal/Other Citations Found in the Rule
69U-150.730  Association Assessments (Repealed) No references. Repealed. 

69U-162 - Family Trust Companies

Rule NumberTitleFederal/Other Citations Found in the Rule
69U-162.002DefinitionsNo references.
69U-162.003Application for License as a Licensed Family Trust CompanySection 736.0810 (2014) Recordkeeping and identification of trust property
Section 736.08135 F.S. (2014) Trust accountings
Florida Probate Rule 5.346
Form OFR-162-01 Application for License as a Licensed Family Trust Company
69U-162.003Application for License as a Licensed Family Trust CompanyForm OFR-162-Bio
69U-162.004Application to Register as a Family Trust CompanyOFR-162-02 Application to Register as a Family Trust Company
69U-162.005Application to Register as a Foreign Licensed Family Trust CompanyForm OFR - 162-03 Application to Register a Foreign Licensed Family Trust Company
69U-162.006Annual RenewalForm OFR-162-04 Annual Renewal Application
69U-162.007RecordsNo references.
69U-162.008ExaminationNo references.
69U-162.009Application Process and FormsOFR-162-Bio Biographical Report
69U-162.010Notification of Proposed AppointmentOFR-162-07 Notification of Proposed Appointment
69U-162.011Discontinuing BusinessNo references.
69U-162.012Quarterly Reporting of Capital Accounts, Fidelity Bonds, and InsuranceOFR-162-11 Quarterly Report of Capital Account Fidelity Bonds and Insurance