Part 19 — Rules of Practice and Procedure

• § 19.0— Applicability date.

Subpart A — Uniform Rules of Practice and Procedure

• § 19.1— Scope.
• § 19.2— Rules of construction.
• § 19.3— Definitions.
• § 19.4— Authority of the Comptroller.
• § 19.5— Authority of the administrative law judge (ALJ).
• § 19.6— Appearance and practice in adjudicatory proceedings.
• § 19.7— Good faith certification.
• § 19.8— Conflicts of interest.
• § 19.9— Ex parte communications.
• § 19.10— Filing of papers.
• § 19.11— Service of papers.
• § 19.12— Construction of time limits.
• § 19.13— Change of time limits.
• § 19.14— Witness fees and expenses.
• § 19.15— Opportunity for informal settlement.
• § 19.16— OCC's right to conduct examination.
• § 19.17— Collateral attacks on adjudicatory proceeding.
• § 19.18— Commencement of proceeding and contents of notice.
• § 19.19— Answer.
• § 19.20— Amended pleadings.
• § 19.21— Failure to appear.
• § 19.22— Consolidation and severance of actions.
• § 19.23— Motions.
• § 19.24— Scope of document discovery.
• § 19.25— Request for document discovery from parties.
• § 19.26— Document subpoenas to nonparties.
• § 19.27— Deposition of witness unavailable for hearing.
• § 19.28— Interlocutory review.
• § 19.29— Summary disposition.
• § 19.30— Partial summary disposition.
• § 19.31— Scheduling and prehearing conferences.
• § 19.32— Prehearing submissions.
• § 19.33— Public hearings.
• § 19.34— Hearing subpoenas.
• § 19.35— Conduct of hearings.
• § 19.36— Evidence.
• § 19.37— Post-hearing filings.
• § 19.38— Recommended decision and filing of record.
• § 19.39— Exceptions to recommended decision.
• § 19.40— Review by the Comptroller.
• § 19.41— Stays pending judicial review.

Subpart B — Procedural Rules for OCC Adjudications

• § 19.100— Filing documents.
• § 19.101— Delegation to OFIA.
• § 19.102— Civil money penalties.

Subpart C — Removals, Suspensions, and Prohibitions of an Institution-Affiliated Party When a Crime Is Charged or a Conviction Is Obtained

• § 19.110— Scope and definitions.
• § 19.111— Suspension, removal, or prohibition of institution-affiliated party.
• § 19.112— Informal hearing.
• § 19.113— Recommended and final decisions.

Subpart D — Actions Under the Federal Securities Laws

• § 19.120— Exemption hearings under section 12(h) of the Securities Exchange Act of 1934.
• § 19.121— Disciplinary proceedings.
• § 19.122— Civil money penalty authority under Federal securities laws.
• § 19.123— Cease-and-desist authority.

Subpart H — Change in Bank Control

• § 19.160— Scope.
• § 19.161— Hearing process.

Subpart I — Discovery Depositions and Subpoenas

• § 19.170— Discovery depositions.
• § 19.171— Deposition subpoenas.

Subpart J — Formal Investigations

• § 19.180— Scope.
• § 19.181— Confidentiality of formal investigations.
• § 19.182— Order to conduct a formal investigation.
• § 19.183— Rights of witnesses.
• § 19.184— Service of subpoena and payment of witness expenses.
• § 19.185— Dilatory, obstructionist, or insubordinate conduct.

Subpart K — Parties and Representational Practice Before the OCC; Standards of Conduct

• § 19.190— Scope.
• § 19.191— Definitions.
• § 19.192— Sanctions relating to conduct in an adjudicatory proceeding.
• § 19.193— Censure, suspension, or debarment.
• § 19.194— Eligibility of attorneys and accountants to practice.
• § 19.195— Incompetence.
• § 19.196— Disreputable conduct.
• § 19.197— Initiation of disciplinary proceeding.
• § 19.198— Conferences.
• § 19.199— Proceedings under this subpart.
• § 19.200— Effect of debarment, suspension, or censure.
• § 19.201— Petition for reinstatement.

Subpart L — Equal Access to Justice Act

• § 19.205— Authority and scope; waiver.
• § 19.206— Definitions.
• § 19.207— Application requirements.
• § 19.208— Net worth exhibit.
• § 19.209— Documentation of fees and expenses.
• § 19.210— Filing and service of documents.
• § 19.211— Answer to application.
• § 19.212— Reply.
• § 19.213— Settlement.
• § 19.214— Further proceedings.
• § 19.215— Decision.
• § 19.216— Agency review.
• § 19.217— Judicial review.
• § 19.218— Stay of decision concerning award.
• § 19.219— Payment of award.

Subpart M — Procedures for Reclassifying an Insured Depository Institution Based on Criteria Other Than Capital Under Prompt Corrective Action

• § 19.220— Scope.
• § 19.221— Reclassification of an insured depository institution based on unsafe or unsound condition or practice.
• § 19.222— Request for rescission of reclassification.

Subpart N — Order To Dismiss a Director or Senior Executive Officer Under Prompt Corrective Action

• § 19.230— Scope.
• § 19.231— Order to dismiss a director or senior executive officer.

Subpart O — Civil Money Penalty Inflation Adjustments

• § 19.240— Inflation adjustments.

Subpart P — Removal, Suspension, and Debarment of Accountants From Performing Audit Services

• § 19.241— Scope.
• § 19.242— Definitions.
• § 19.243— Removal, suspension, or debarment.
• § 19.244— Automatic removal, suspension, or debarment.
• § 19.245— Notice of removal, suspension, or debarment.
• § 19.246— Petition for reinstatement.

Subpart Q — Forfeiture of Franchise for Money Laundering or Cash Transaction Reporting Offenses

• § 19.250— Scope.
• § 19.251— Notice and hearing.
• § 19.252— Presiding officer.
• § 19.253— Grounds for termination.
• § 19.254— Judicial review.