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| 69U-100.002 | Scope (Repealed) | No references. Repealed.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. |
| 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. |
| 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