12 CFR §150.30
Verified against eCFR.gov as of June 20, 2026View official text on eCFR.gov ↗
You are subject to this part if you act in a fiduciary capacity, except as described in subpart E of this part. You act in a fiduciary capacity when you act in any of the following capacities:
- (a)Trustee.
- (b)Executor.
- (c)Administrator.
- (d)Registrar of stocks and bonds.
- (e)Transfer agent.
- (f)Assignee.
- (g)Receiver.
- (h)Guardian or conservator of the estate of a minor, an incompetent person, an absent person, or a person over whose estate a court has taken jurisdiction, other than under bankruptcy or insolvency laws.
- (i)A fiduciary in a relationship established under a state law that is substantially similar to the Uniform Gifts to Minors Act or the Uniform Transfers to Minors Act as published by the American Law Institute.
- (j)Investment adviser, if you receive a fee for your investment advice.
- (k)Any capacity in which you have investment discretion on behalf of another.
- (l)Any other similar capacity that the OCC may authorize under 12 U.S.C. 1464(n).