Materials Incorporated by Reference in Rules

69U-100 - Financial Institutions Generally

Rule Number Title Federal/Other Citations Found in the Rule
69U-100.002 Scope (Repealed) No references. Repealed.
69U-100.003 Definitions 12 CFR s 204.125 (1-1-2020)
69U-100.004 Notification No references.
69U-100.005 Florida Control of Money Laundering and Terrorist Financing in Financial Institutions Form 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 Officers Form 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 Standards Office 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)
Federal Financial Institutions Examination Council, Cybersecurity Assessment Tool (5/2017)
FRB Manual US Branches and Agencies of Foreign Banking organizations
69U-100.0451 Unsafe and Unsound Examination Fees No references.
69U-100.057 Public Records Requests No references.
69U-100.067 Subsidiaries Holding Institution-authorized Assets No references.
69U-100.100 Authority, Purpose, and Scope No references.
69U-100.101 Definitions Concerning Debt Cancellation Products No references.
69U-100.102 Prohibited Practices No references.
69U-100.103 Refunds No references.
69U-100.104 Method of Payment or Fees No references.
69U-100.105 Disclosures Form OFR U-XX
Form OFR U-YY
Electronic Signatures in Global and National Commerce Act, 15 U.S.C. §§7001-7006, 7021, 7031 (2006), which is hereby incorporated by reference
69U-100.106 Affirmative Election to Purchase and Acknowledgement of Receipt of Disclosures Required No references.
69U-100.600 Appraisals, and Appraisal Standards and Policies of State Financial Institutions No references.
69U-100.948 Reporting of Significant Events or Conditions No references.
69U-100.956 Conflict of Interest Policy OFR APP 1-2
DFS APP 1-15
69U-100.963 Automated Teller Machines and the Disclosure of Safety Information Federal Reserve Board Regulation E, 12 C.F.R., part 205, promulgated pursuant to the Electronic Fund Transfer Act, 15 U.S.C. §§1601 et seq.
69U-100.964 Transactions Relating to Iran or Terrorism OFAC 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 Number Title Federal/Other Citations Found in the Rule
69U-105.001 Definitions No references.
69U-105.101 Scope No references.
69U-105.102 Application Form OFR-U-1
Form OFR-U-28
Form OFR-U-10
Form OFR-U-16
Form OFR-U-12
Form OFR-U-15
Form OFR-U-17
Form OFR-U-19
Form OFR-U-19A
Form OFR-U-4
Form OFR-U-11
Form OFR-U-16A
69U-105.103 Publication of Notice of Receipt or Withdrawal of Application No references.
69U-105.104 Petition for Public Hearing No references.
69U-105.105 Publication of Notice of Hearing No references.
69U-105.106 Participants in Proceeding No references.
69U-105.107 Computation of Time No references.
69U-105.108 Extension of Time No references.
69U-105.109 Notice, Filing, Service No references.
69U-105.110 Post-Evidentiary Procedures No references.
69U-105.111 Final Orders No references.
69U-105.112 Record No references.
69U-105.113 Coordination with Federal and Other Agencies 12 USC section 1828c
12 USC sections 1811-1832
69U-105.114 Reconsideration No references.
69U-105.201 Scope No references.
69U-105.202 Application Form OFR-U-1
Form OFR-U-28
Form OFR-U-10
69U-105.205 Organization Expenses No references.
69U-105.206 Regulatory Standards for Evaluating Applications Form OFR-U-10
Form OFR-U-28
Form OFR-U-1
12 C.F.R. Part 216
12 C.F.R. Part 326
69U-105.207 Coordination with Federal Regulatory Agencies and Department of State No references.
69U-105.208 Relocation of Opened State Financial Institutions and Redesignation of Main Office or Branch Office No references.
69U-105.209 Opening Form OFR-U-1
Form OFR-U-28
69U-105.210 Standards for the Initial Offering Circular or Memorandum of State Financial Institutions No references.
69U-105.401 Scope No references.
69U-105.402 Application Form OFR-U-16
Federal Financial Institutions Examinations Council’s Uniform Interagency Trust Rating System and Uniform Financial Institutions Rating System
69U-105.405 Regulatory Standards for Evaluating Applications No references.
69U-105.406 Relocation of Established Branch Offices, Main Office or Branch Office Form OFR-U-12
69U-105.407 Branch Office Closing No references.
69U-105.408 Timeframes for Processing No references.
69U-105.409 Mobile Banking Units, Account Service Representatives, and Courier Services No references.
69U-105.501 Scope No references.
69U-105.502 Procedural Rules for Processing Applications No references.
69U-105.503 Application Form OFR-U-15
69U-105.505 Regulatory Standards for Evaluating Applications No references.
69U-105.506 Final Order No references.
69U-105.507 Deposit of Securities with Chief Financial Officer No references.
69U-105.601 Scope No references.
69U-105.602 Compliance with Applicable Federal Laws 12 U.S.C. s. 1828(c).
69U-105.603 Merger Applications Form OFR-U-19A
Form OFR-U-19
69U-105.605 Examination of Federal Financial Institutions No references.
69U-105.606 Main Offices, Branch Offices, and Trust Departments of Constituent Financial Institutions No references.
69U-105.607 Approval by OFR No references.
69U-105.608 Successor Institution Form OFR-U-19A
69U-105.609 Coordination with Federal Regulatory Agencies No references.
69U-105.610 Certificate of Merger No references.
69U-105.611 Purchase and Assumption Applications Form OFR-U-17
69U-105.701 Scope No references.
69U-105.702 Procedural Rules for Processing Applications No references.
69U-105.703 Application Form OFR-U-4
Form OFR-U-17
Form OFR-U-19
69U-105.706 Resulting Financial Entity’s Capital Structure and Management No references.
69U-105.707 Termination of Nonconformance No references.
69U-105.708 Cancellation of Charter Certificates No references.

69U-110 - State Credit Unions

Rule Number Title Federal/Other Citations Found in the Rule
69U-110.002 Definitions (Repealed) No references. Repealed
69U-110.005 Application and Filing Fee Form OFR-U-60
Form OFR-U-61
Form OFR-U-10
Form OFR-U-10A
69U-110.0061 Bylaws Form OFR-U-61
Form OFR-U-61A
Form OFR-U-70
69U-110.008 Branches No references
69U-110.021 Notification to OFR after Elections or Appointments 12 CFR 741.6
69U-110.0211 Liability and Bond Insurance 12 CFR §§ 741.3(d) and 741.201(a)
69U-110.0212 Policies No references
69U-110.026 Supervisory/Audit Committee; Audit 12 C.F.R. § 741.202
69U-110.031 Powers 12 C.F.R. § 701.37
69U-110.038 Applications for Credit (Repealed) No references. Repealed.
69U-110.0381 Loans Secured by Real Estate No references
69U-110.0382 Credit Cards (Repealed) No references. Repealed.
69U-110.042 Investments (Repealed) No references. Repealed.
69U-110.043 Reserves No 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 OFR 12 C.F.R. §741.6
69U-110.050 Currency Reporting Compliance Requirements (Repealed) No references. Repealed.
69U-110.053 Credit Union Assessments No references.
69U-110.062 Capitalization Criteria for Conservatorship or Involuntary Liquidation Actions 12 U.S.C. § 1790d(c)
12 C.F.R. Part 702
69U-110.063 Credit Unions Liquidation Certificate and Maintenance of Records Form OFR-U-69
69U-110.065 Merger Form OFR-U-64
69U-110.066 Conversion Form OFR-U-67
Form OFR-U-61
69U-110.068 Central Credit Unions (Repealed) No references. Repealed.

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

Rule Number Title Federal/Other Citations Found in the Rule
69U-120.001 List of Stockholders No references.
69U-120.003 Stock Options; Requirements for OFR Approval; Stock Bonuses Prohibited No references.
69U-120.004 Loans Secured by Secondary Liens on Real Estate No references.
69U-120.005 Lease Financing; Purchase of Leases No references.
69U-120.006 Undivided Profits; Loan and Investment Limitations Form OFR-U-130A Consolidated Financial Reports for Non-Deposit Trust Companies (rev. 04.2021)
69U-120.008 Borrowing – Obligations to Repurchase Certain Securities Sold No references.
69U-120.009 Securities Purchasable by Banks; Investment Characteristics No references
69U-120.045 Minimum Internal Audit Procedures No references.
69U-120.0451 Financial Reports Form 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-120.330 List of Directors and Officers; Director’s Oath Form 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 Banks 12 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 Assessments Form OFR-U-130A Consolidated Financial Reports for Non-Deposit Trust Companies (rev. 04.2021)

69U-130 - International Trust Company Representative Offices

Rule Number Title Federal/Other Citations Found in the Rule
69U-130.101 Definitions No references.
69U-130.102 Applications Form 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, Finanical Services Modernization Act of 1999
120.569 F.S.
120.57 F.S.
120.60(1) F.S.
119.071(5)(a)2a and b
119.07(1), F.S.
Section 24(a), Article 1 of the State Constitution
USA Patriot Act of 2001, Pub. L. No. 107-56
69U-130.104 Reciprocity No references.
69U-130.105 Principles of Adequate Supervision of an International Trust Entity’s Foreign Establishments No references.
69U-130.106 Capital Accounts Form OFR-U-57T
69U-130.107 Surrender of License No references.
69U-130.109 Interim Operational Plan Form OFR-U-20D
Form OFR-U-20D ABR
69U-130.110 Examination Fees No references.

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

Rule Number Title Federal/Other Citations Found in the Rule
69U-135.101 Written Notice for Qualification Form OFR-U-135
69U-135.102 Renewal of Qualification Form OFR-U-135R
69U-135.103 Procedures for Surrender of Qualification No references.

69U-140 - International Banks

Rule Number Title Federal/Other Citations Found in the Rule
69U-140.002 Applications Interagency 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 Establishments No references.
69U-140.004 Application for the Establishment of Separate International Banking Agencies by a Qualified International Banking Corporation (Repealed) No references.
69U-140.0045 Interim Operational Plans OFR-U-20
OFR-U-20A
69U-140.005 Surrender of License No references.
69U-140.006 Investment Services No references.
69U-140.008 Permissible Activities for an International Bank Agency Edge Act, 12 U.S.C. sections 611-631
69U-140.015 Capital Equivalency of Asset Maintenance OFR-U-29
OFR-U-50
OFR-U-52
69U-140.016 Capital Accounts and Capital Ratio Standards Form OFR-U-57
69U-140.017 Acceptances No references.
69U-140.018 Minimum Audit Procedures – International Bank Agencies No references
69U-140.019 Financial Reports Form OFR-U-50
Form OFR-U-51
Form OFR-U-52
Form OFR-U-53
Form OFR-U-55
Form OFR-U-56
Form OFR-140A
69U-140.020 Semiannual Assessment No references.
69U-140.022 Service of Process (Repealed) No references. Repealed
69U-140.023 Reciprocity No references.
69U-140.120 Examination Fees No 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 Number Title Federal/Other Citations Found in the Rule
69U-162.002 Definitions No references.
69U-162.003 Application for License as a Licensed Family Trust Company Section 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-162.004 Application to Register as a Family Trust Company OFR-162-02 Application to Register as a Family Trust Company
69U-162.005 Application to Register as a Foreign Licensed Family Trust Company Form OFR - 162-03 Application to Register a Foreign Licensed Family Trust Company
69U-162.006 Annual Renewal Form OFR-162-04 Annual Renewal Application
69U-162.007 Records Form OFR-162-07
69U-162.008 Examination Form OFR-162-08
69U-162.009 Application Process and Forms OFR-162-09-Bio Biographical Report
69U-162.010 Notification of Proposed Appointment OFR-162-010 Notification of Proposed Appointment
69U-162.011 Discontinuing Business Form OFR-162-011
69U-162.012 Quarterly Reporting of Capital Accounts, Fidelity Bonds, and Insurance OFR-162-11 Quarterly Report of Capital Account Fidelity Bonds and Insurance