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| 69U-100.002 | Scope (Repealed) | No references. Repealed.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) 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 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 | No references. |
| 69U-100.106 | Affirmative Election to Purchase and Acknowledgement of Receipt of Disclosures Required | No references. |
| 69U-100.323 | Attestation of Compliance 655.0323 Unsafe and Unsound Practices | Form OFR-U-323 |
| 69U-100.3231 | Complaint Review Process | |
| 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 | No references. |
| 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-4 Form OFR-U-17 Form OFR-U-19 |
| 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 | No references. |
| 69U-105.114 | Reconsideration | No references. |
| 69U-105.201 | Scope | No references. |
| 69U-105.202 | Application | No references. |
| 69U-105.205 | Organization Expenses | No references. |
| 69U-105.206 | Regulatory Standards for Evaluating Applications | No references. |
| 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 | No references. |
| 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 |
| 69U-105.405 | Regulatory Standards for Evaluating Applications | No references. |
| 69U-105.406 | Relocation of Established Branch Offices, Main Office or Branch Office | No references. |
| 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 | No references. |
| 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 | No references. |
| 69U-105.603 | Merger Applications | No references. |
| 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 | No references. |
| 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 | No references. |
| 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 | No references. |
| 69U-110.0061 | Bylaws | No references. |
| 69U-110.008 | Branches | No references. |
| 69U-110.021 | Notification to OFR after Elections or Appointments | 12 CFR 741.6 and Form OFR U-21 |
| 69U-110.0211 | Liability and Bond Insurance | 12 C.F.R. §§ 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 | No references. |
| 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 | No references. |
| 69U-110.066 | Conversion | No references. |
| 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 | No references. |
| 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 | No references. |
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, Financial Services Modernization Act of 1999 |
| 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 | No references. |
| 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 | No references. |
| 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 or Asset Maintenance | Form OFR U-29, Form OFR U-52, Form OFR U-50 |
| 69U-140.016 | Capital Accounts and Capital Ratio Standards | No references. |
| 69U-140.017 | Acceptances | No references. |
| 69U-140.018 | Minimum Audit Procedures – International Bank Agencies | No references. |
| 69U-140.019 | Financial Reports | No references. |
| 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-162.003 | Application for License as a Licensed Family Trust Company | Form OFR-162-Bio |
| 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 | No references. |
| 69U-162.008 | Examination | No references. |
| 69U-162.009 | Application Process and Forms | OFR-162-Bio Biographical Report |
| 69U-162.010 | Notification of Proposed Appointment | OFR-162-07 Notification of Proposed Appointment |
| 69U-162.011 | Discontinuing Business | No references. |
| 69U-162.012 | Quarterly Reporting of Capital Accounts, Fidelity Bonds, and Insurance | OFR-162-11 Quarterly Report of Capital Account Fidelity Bonds and Insurance |