Banking and Finance Sector-Specific Plan - U.S. Department of ...

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Office of Comptroller of the Currency U.S. Code & Regulations Date Subject 12 U.S.C. § 1, et seq. Charter 12 U.S.C. § 2, et seq. National Banks 12 U.S.C. § 18, et seq. Bank Service Company Act Office of Federal Housing Enterprise Oversight U.S. Code & Regulations Date Subject 12 CFR Parts 1700-1780 Rules and Regulations of OFHEO pertaining to the Enterprises 12 U.S.C., § 4501, et seq. 1992 The Federal Housing Enterprises Financial Safety and Soundness Act of 1992 12 U.S.C. § 4511 Establishes the Office of Federal Housing Enterprise Oversight 12 U.S.C. §§ 4512-4526 Duties and Authorities of Director, OFHEO 12 U.S.C. § 4611, et seq. Required Capital Levels for Enterprises; Enforcement Powers Office of Thrift Supervision U.S. Code & Regulations Date Subject 12 U.S.C. 1461, et seq. Home Owners Loan Act authorizes OTS to examine and supervise savings associations and savings and loan holding companies. 12 CFR Parts 500-591 Rules and Regulations of the Office of Thrift Supervision 60 Banking and Finance Sector-Specific Plan
Securities and Exchange Commission U.S. Code & Regulations Date Subject 15 U.S.C. 78a, et seq. 1934 Securities Exchange Act of 1934 15 U.S.C. 80a-1, et seq. 1940 Investment Company Act of 1940 15 U.S.C. 80b-1, et seq. 1940 Investment Advisers Act of 1940 Securities Investor Protection Corporation* U.S. Code & Regulations Date Subject 15 U.S.C. 78aaa, et seq. 1970 The Securities Investor Protection Act of 1970 15 U.S.C. 78ccc(e)(2) Rules to effectuate the purpose and operations of SIPC. See 17 CFR Part 300. 15 U.S.C. 78fff(b) Allows SIPC to conduct a liquidation proceeding “in accordance with, and as though it were being conducted under chapters 1, 3, and 5 and subchapters I and II of chapter 7” of the Bankruptcy Code, 11 U.S.C. § 101, et seq. * This corporation is neither a Federal nor a State regulator; however, it was established by a Federal statute. Appendix : Statutory Authorities 6
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Banking and Finance Critical Infras
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ii Banking and Finance Sector-Speci
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iv 2.2.5 Collecting Asset Data 25 2
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Executive Summary The Banking and F
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3. Assess Risks Risk assessments ar
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Introduction According to Homeland
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and technological systems. These ex
Page 18 and 19: in various organized markets, from
Page 20 and 21: Figure 1-1: FBIIC Members FBIIC Mem
Page 22 and 23: • The NCUA regulates Federally ch
Page 24 and 25: • Identify voluntary efforts wher
Page 26 and 27: Continuity in the Financial Service
Page 28 and 29: The Banking and Finance Sector has
Page 30 and 31: system. All of the systemically cri
Page 32 and 33: linked to payments occurring in sys
Page 35 and 36: 3. Assess Risks Both the public and
Page 37 and 38: the FBIIC agencies identify financi
Page 39 and 40: 4. Prioritize Infrastructure In the
Page 41 and 42: 5. Develop and Implement Protective
Page 43 and 44: - The Treasury Department acquired
Page 45 and 46: work of the SSA and various public
Page 47: • In 2003, BITS and SIA drafted C
Page 50 and 51: 6.1.1 Developing Sector-Specific Me
Page 52 and 53: updates on the sector metrics in su
Page 54 and 55: 6 Implementation Action Milestone S
Page 56 and 57: • Understanding and Avoiding of t
Page 59 and 60: 8. Manage and Coordinate SSA Respon
Page 61: information. This information-shari
Page 64 and 65: NFA National Futures Association NI
Page 66 and 67: Federal Deposit Insurance Corporati
Page 70 and 71: Department of the Treasury U.S. Cod
Page 72 and 73: State Banking Law/Statute Maryland
Page 74 and 75: National Association of Insurance C
Page 76 and 77: Code & Regulations State URL §§ 5
Page 78 and 79: Code & Regulations State URL §§ 3
Page 80 and 81: State Statute Nebraska NE ST §§ 8
Page 82 and 83: Date Title URL 08-05 Information Te
Page 84 and 85: Date Title URL 08-01 Examination Pr
Page 86 and 87: Federal Financial Institution Exami
Page 88 and 89: Date Title URL 03-31 FFIEC Retail P
Page 90 and 91: Date Title URL 12-05 Interagency Gu
Page 92 and 93: National Credit Union Administratio
Page 94 and 95: Date Title URL 09-01 NCUA Letter to
Page 96 and 97: Date Title URL 05-04 Risk Managemen
Page 98 and 99: Summary of Regulatory Guidance on E
Page 100 and 101: Date Title URL 04-03 Interagency Gu
Page 103 and 104: Appendix 3: FSSCC Research and Deve
Page 105 and 106: 1. Common operating picture archite
Page 107 and 108: members are very active. One of the
Page 109 and 110: K Financial information tracing is
Page 111: SCC R&D Challenges vs. NIPP R&D The
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