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Federal Register / Vol. 86, No. 13 / Friday, January 22, 2021 / Rules and Regulations PUBLICLY-AVAILABLE ADVISORY OPINIONSContinued
AO No.

AO title
1702

1702 Question regarding whether certain Deposits placed through a Banks relationship with certain Middle Market Companies are considered Brokered Deposits.
887 Insurance Coverage of CDs Invested Through Deposit Broker.
8951 Brokered Deposits Prohibition of Section 29 of the FDI Act Under FIRREA.
8955 Does Acceptance of Brokered Deposits in Violation of Section 29 of the FDI Act Affect the Insurance of the Deposits So Received.
Brokered Deposits: Master CDs Purchased From Financial Institutions and Held by a Custodian Bank for the Benefit of the Purchasers.
Deposit Insurance for Brokered Deposits.
9024 Deposit Broker Engaged in the Business of Placing Deposits, or Facilitating the Placement of Deposits.
Domestic Brokered Deposits of Foreign Bank Customer Funds: Recordkeeping Requirements.
9250 Criteria for Determining Whether a Listing Is a Deposit Broker for Purposes of 12 U.S.C. 1831f and 12 C.F.R.
337.6.
Extent to Which Trust Department of Bank Is Subject to Registration Requirements Imposed by New Brokered Deposit Prohibitions.
Company and Its Employees Offering Investment Advisory Services and Purchasing CDs in Clients Names Are Deposit Brokers Subject to Registration Requirements of New Brokered Deposit Prohibitions.
9253 Company Which Never Has Actual Possession of Investors Principal But Facilitates Placement of Deposits Is a Deposit Broker.
9254 Company Which Merely Collects Information on Availability and Terms of Deposit Accounts and Publishes Such Data Is not a Deposit Broker.
9256 Bank Employee Who Sells Commercial Checking Accounts and Is Paid Solely by Commission Must Register as a Deposit Broker.
9260 Where Company and Its Clients Are Deposit Brokers, Company May File Master Notice Registering as Deposit Broker on Behalf of Clients.
9266 Investment Advisor/Fund Administrator for Governmental Authorities Is Deposit Broker with Respect to Optional Certificate of Deposit Placement Program It Offers.
9268 Bank Acts as Deposit Broker When It Places Portion of Deposits Exceeding Insurance Limit with Affiliated Depository Institutions.
9269 Renewal or Rollover of Deposit Is Prohibited by 12 U.S.C. 1831fa only if Deposit Broker Continues to be Involved in Transaction; Brokered Deposits Accepted at Rates Significantly Higher than Prevailing Rate but Renewed for Less Does not Constitute Prohibited Renewal.
9271 Bank Acts as Deposit Broker When, at Request of Customer, It Purchases CDs at Other Depository Institutions and Charges Fee for Such Service.
9273 Mere Knowledge on Part of Insured Depository Institution That It Is Accepting Funds from Broker Is Sufficient to Subject Institution to Brokered Deposit Restrictions Based on Its Capital Category.
9275 Brokered Deposits: Employee Compensation May Not Be Adjusted After the Fact to Ensure That Compensation is Primarily Salary.
9277 Investment Advisor/Broker-Dealer which Establishes System for Marketing Deposits and Receives Consideration Through Receipt of Deposits or Fees by Bank which it Partially Owns Must Register as Deposit Broker.
9278 FHA Trustees Servicing FHA-Related Mortgage Portfolios Are Not Subject to Brokered Deposit Registration Requirements.
9279 Associations With Which Insured Institution Has Entered Into Marketing Agreements are Subject to Brokered Deposit Registration Requirements.
9284 Company that Assist and Advises Mortgage Loan Servicer in Placing Funds Must Register as Deposit Broker.
9286 Company That Assists Municipalities, Private Investors and Corporations in Locating Depository Institutions Actively Seeking Large Deposits but That Does not Accept Direct Fee from Institution Must Register as a Deposit Broker.
9287 Agreement Entered into Between Trust Department and Customer for Primary Purpose of Placing Funds With Insured Depository Institutions Requires Bank to Register as Deposit Broker.
9288 Bankers Bank Acts as Deposit Broker When It Places Deposits for Its Stockholder Banks and Other Depository Institutions.
9291 Administrator of State School Cash Management Program Which Places CDs Must Register as Deposit Broker.
9292 Bank Acts as Deposit Broker When It Places Excess Funds for Municipality Acting as Public Guardian/Administrator and for Other Customers.
933 Transaction in Which an Entity Finds Insured Depository Institutions for Trust Department Investments for a Fee or Commission Is Subject to Brokered Deposit Recordkeeping Requirements.
934 Deposits Used to Secure Loans to Foreign Customers Are Subject to Brokered Deposit Interest Rate Restrictions.
935 An Adequately Capitalized Depository Institution Without a Brokered Deposit Waiver May Not Offer Interest Rates Significantly Higher Than Prevailing Interest Rate Offered by Other Insured Depository Institutions With Same Type of Charter.
936 Brokered Deposits: Insured Depository Institutions Must Compare Their Interest Rates to Other Insured Depository Institutions With Same Type of Charter.
9313 Funds Invested in Federally Insured Minorityor Women-Owned Depository Institutions by Fannie Mae Pursuant to an Irrevocable Trust Are Not Considered Brokered Deposits.
9314 Bank Acts as Deposit Broker When It Occasionally Invests in CDs With Other Insured Depository Institutions on Behalf of Its Customers.
9316 Well-Capitalized Institution That Solely Offers High-Rate Deposits Need Not Notify FDIC of Its Deposit Broker Status.
9318 Clarification of Brokered Deposit Interest Restrictions Imposed by 12 U.S.C. 1831f.
9319 Circumstances Under Which an Adequately Capitalized Institution Operating Under Brokered Deposit Waiver May Use National Rate Instead of Normal Market Rate.
9321 Legal Requirements Governing Advertisement of Deposits by Deposit Brokers.
9330 Affinity Groups Are Not Deposit Brokers for Purposes of Sections 29 and 29A of the FDI Act and 12 CFR 337.6a.

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