Regulation of Bank Financial Service Activities : Cases and Materials

, by Broome, Lissa L.; Markham, Jerry W.

Note: Supplemental materials are not guaranteed with Rental or Used book purchases.

ISBN: 9780314151377 | 0314151370
Cover: Hardcover
Copyright: 5/27/2005

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Provides a comprehensive overview of nearly every aspect of banking regulation from its history, to federal and state regulation, to international regulatory issues. Contains individual chapters on the securities, derivatives and insurance activities of banks and their "functional" regulation by non-banking regulators under the Gramm-Leach-Bliley Act (GLBA). Also reviews thrift regulation and its evolution under FIRREA and FDICIA, and contains a chapter on bank commercial lending activity.

Preface

Acknowledgments

vii

Summary of Contents

Table of Cases

xxxi

The History of Banking Regulation in America

The Role of Banks in Early America

(8)

Medium of Payment

(1)

The Case of Mixed Money in Ireland

(4)

Craig v. Missouri

(2)

Lending Money

(1)

The Creation of Banks in America

(8)

The Bank of the United States and Early State Chartered Banks

(1)

The Second Bank of the United States

(1)

McCulloch v. Maryland

(4)

The Fight Over the Second BUS

(1)

The Civil War Era

(18)

Bank Currency

(1)

Marine Bank v. Fulton Bank

(2)

Shinplasters and the Stamp Payments Act

(1)

United States v. Van Auken

(1)

Greenbacks as Legal Tender

(1)

Legal Tender Cases

(4)

The National Bank Act

(1)

First National Bank of Charlotte v. National Exchange Bank of Baltimore

(2)

Veazie Bank v. Fenno

(4)

Clearing Houses and Central Banks

(1)

Philler v. Patterson

(2)

The Birth of the Federal Reserve System

(9)

Check Clearing

(1)

American Bank & Trust Co. v. Federal Reserve Bank of Atlanta

(2)

Federal Reserve Notes

(1)

Milam v. United States

(1)

Monetary Policy

(1)

Raichle v. Federal Reserve Bank of New York

(4)

The New Deal Legislation

(8)

Creation of Federal Deposit Insurance

(1)

Hewitt v. United States

(1)

Strengthening the Federal Reserve System

(1)

The Model of a Central Banker

(2)

Glass-Steagall Act Restrictions on Securities Activities

(2)

Interest Rate Restrictions

(1)

Limitations on Geographic Expansion

(5)

First National Bank in St. Louis v. Missouri

(2)

First National Bank of Logan v. Walker Bank & Trust Co.

(3)

Regulation of Bank Holding Companies

(8)

Closely Related to Banking

(1)

Cameron Financial Corp. v. Board of Governors of the Federal Reserve System

(2)

The Douglas Amendment and Geographic Expansion by Bank Holding Companies

(1)

Pressures on the Bank Holding Company Act

(1)

Board of Governors of the Federal Reserve System v. Dimension Financial Corp.

(4)

Inflationary Pressures

(3)

Paine, Webber, Jackson & Curtis, Inc. v. Merrill Lynch, Pierce, Fenner & Smith, Inc.

(2)

Geographic Barriers Fall

(1)

The Changing Roles of Banks and Their Holding Companies

(6)

Continuing Competitive Pressures

(2)

The Gramm-Leach-Bliley Act and Financial Holding Companies

(1)

Overview of the Gramm-Leach-Bliley Act

(4)

Themes of Banking Regulation

(6)

Reasons for Major Banking Legislation

(1)

Themes Inherent in Banking Legislation and Regulation

(1)

Concerns About Mixing Banking and Commerce

(1)

Limited Entry

(1)

Dual Chartering and Regulatory Arbitrage

(1)

Restrictions on Geographic Expansion

(1)

Concerns About Concentrations of Economic Power

(1)

Safety and Soundness Regulation

(1)

Grandfather Provisions

(3)

Thrift and Credit Union Regulation

The History of Thrift and Credit Union Regulation

(30)

Savings and Loans

(2)

West Helena Savings and Loan Ass'n v. Federal Home Loan Bank Board

(2)

North Arlington National Bank v. Kearny Federal Savings & Loan Ass'n

(2)

Fedelity Federal Saving & Loan Ass'n v. De La Cuesta

(8)

Savings Banks

(1)

Huntington v. National Savings Bank

(2)

Credit Unions

(1)

La Caisse Populaire Ste. Marie (St. Mary's Bank) v. United States

(7)

National Credit Union Administration v. First National Bank & Trust Co.

106

(5)

Other Institutions

111

(1)

Savings and Loan Crisis

111

(22)

Destructive Inflationary Pressures

111

(1)

Biscayne Federal Savings & Loan Ass'n v. Federal Home Loan Bank Board

112

(3)

The First Round of Legislative Responses

115

(1)

The Influence of Enhanced Thrift Institution Powers on Commercial Bank Market Expansion

116

(3)

In the Matter of Charles Keating, Jr.

119

(3)

The Second Round of Legislative Response: Congress Gets Tough

122

(2)

Spiegel v. Ryan

124

(3)

United States v. Winstar Corp

127

(6)

Regulation of Thrifts and Credit Unions

133

(13)

Regulatory Structure

133

(1)

Characteristics of Thrifts and Credit Unions

133

(1)

Powers

134

(1)

Other Institutions

135

(1)

Conversion or Demutualization

136

(1)

Dougherty v. Carver Federal Savings Bank

136

(6)

Holding Companies

142

(1)

Historical Framework for Regulation of Activities of Unitary Savings and Loan Holding Companies

142

(4)

Review of Regulatory Themes

146

(5)

Reasons for Major Legislation

146

(1)

Regulatory Themes

147

(1)

Concerns About Mixing Banking and Commerce

147

(1)

Limited Entry

147

(1)

Dual Chartering and Regulatory Arbitrage

147

(1)

Restriction on Geographic Expansion

147

(1)

Concerns About Impermissible Concentrations of Economic Power

148

(1)

Safety and Soundness Regulation

148

(1)

Grandfather Provisions

149

(2)

The Business of Banking

Financial Intermediation

151

(1)

Transaction Accounts

152

(2)

Monetary Policy

154

(29)

Structure of the Federal Reserve System

154

(2)

The Federal Reserve System: Purposes and Functions

156

(1)

Reserve Requirements

156

(1)

The Federal Reserve System: Purposes and Functions

156

(3)

First Bank and Trust Co. v. Board of Governors of the Federal Reserve System

159

(3)

Open Market Operations

162

(1)

The Federal Reserve System: Purposes and Functions

162

(4)

Riegle v. Federal Open Market Committee

166

(3)

The Discount Rate and Federal Funds Rate

169

(1)

The Federal Reserve System: Purposes and Functions

170

(3)

Greenspan Legacy Rides on a Wobbly Economy

173

(3)

Fed Intervention to Prevent Systemic Risk

176

(1)

Hunts Play Court Card as Hard Times Bite

176

(1)

Survey: Mastering Risk - 7: Securing a safety net against economic free fall

177

(1)

Lakonia Management Ltd. v. Meriwether

178

(5)

Characteristics of Banks

183

(3)

Income Statement

186

(2)

Balance Sheet

188

(1)

Challenges to the Traditional Business of Banks

189

(8)

Bank Regulation Today

Regulatory Structure

197

(57)

National Banks

201

(1)

Arnold Tours, Inc. v. Camp

201

(6)

NationsBank of North Carolina, N.A. v. Variable Annuity Life Insurance Co.

207

(5)

The Business of Banking: Looking to the Future

212

(3)

The Business of Banking: Looking to the Future -- Part II

215

(5)

Barnett Bank of Marion County, N.A. v. Nelson

220

(9)

OCC Final Rule: Bank Activities and Operations; Real Estate Lending & Appraisals

229

(6)

OCC Final Rule: Bank Activities and Operations

235

(10)

State Banks

245

(2)

Bank Subsidiaries

247

(1)

Service Corporation

247

(1)

Operating Subsidiary

247

(1)

Wachovia Banks, N.A. v. Burke

248

(3)

Financial Subsidiary

251

(2)

Corporate Governance

253

(1)

Holding Company Regulation

254

(31)

Bank Holding Companies

254

(1)

National Courier Ass'n v. Board of Governors of the Federal Reserve System

255

(3)

Financial Holding Companies

258

(3)

Bank Holding Companies and Change in Bank Control

261

(4)

Functional Regulation

265

(2)

Commercial Activities

267

(3)

Interaffiliate Relations

270

(1)

Affiliate Transactions

270

(1)

Interim Rule with Request for Public Comments

270

(2)

Conflicts of Interest

272

(1)

Washington Steel Corp. v. TW Corp.

272

(7)

Anti-Tying

279

(3)

Dibidale of Louisiana, Inc. v. American Bank & Trust Co.

282

(3)

Privacy

285

(22)

Disclosure to the Government

285

(1)

Adams v. Board of Governors of the Federal Reserve Board

285

(3)

Lopez v. First Union National Bank of Florida

288

(7)

Disclosure to Private Parties

295

(1)

Tentative Steps Toward Financial Privacy

295

(5)

American Bankers Ass'n v. Lockyer

300

(7)

Technology, the Internet, and E-Commerce

307

(10)

Technology

307

(1)

Information Technology in Banking and Supervision

307

(5)

Internet Banking

312

(1)

Electronic Banking: Notice of Proposed Rulemaking: 12 C.F.R. Part 7

312

(2)

E-Commerce

314

(3)

Bank Assets

Non-Loan Assets

317

(6)

Real Estate

317

(1)

Investments

317

(1)

Marx v. Centran Corp.

318

(3)

United States v. Iguchi

321

(2)

General Regulation of Loans

323

(22)

Lending Limits

324

(1)

del Junco v. Conover

325

(6)

Insider Loans

331

(1)

De La Fuente v. Federal Deposit Insurance Corp.

332

(5)

Lender Liability

337

(1)

Environmental Lender Liability

338

(1)

United States v. Fleet Factors Corp.

339

(4)

Accounting for Loan Loss Reserves

343

(2)

Commercial Lending Concerns

345

(42)

Loan Participations and Syndicated Loans

345

(2)

Banco Espanol de Credito v. Security Pacific National Bank

347

(4)

Secondary Loan Market

351

(1)

The Industry

352

(2)

Securitization

354

(1)

Comptroller's Handbook: Asset Securitization

355

(2)

Mortgage-Backed Securities

357

(1)

Ginnie Mae's Role in Home Ownership

357

(1)

Rockford Life Insurance Co. v. Illinois Department of Revenue

358

(2)

American Bankers Mortgage Corp. v. Federal Home Loan Mortgage Corp.

360

(2)

Securities Industry Ass'n v. Clarke

362

(3)

Collateralized Mortgage Obligations

365

(1)

Banca Cremi, S.A. v. Alex. Brown & Sons, Inc.

366

(4)

Other Asset-Backed Securities

370

(1)

Student Loan Marketing Ass'n v. Riley

370

(3)

Asset-Backed Commercial Paper Conduits

373

(2)

Special Concerns Related to Securitizations by Banks

375

(2)

Interagency Final Rule

377

(3)

Loan Protection and Surety Bonds

380

(1)

JP Morgan Chase Bank v. Liberty Mutual Ins. Co.

381

(6)

Consumer Lending

Usury

387

(19)

National Banks

388

(1)

Tiffany v. National Bank of Missouri

388

(2)

Marquette National Bank of Minneapolis v. First of Omaha Service Corp.

390

(5)

Smiley v. Citibank (South Dakota), N.A.

395

(4)

State Banks

399

(1)

Greenwood Trust v. Commonwealth of Massachusetts

399

(7)

Truth in Lending Act (TILA)

406

(30)

Open-End versus Closed-End Credit

407

(1)

Benion v. Bank One, Dayton, N.A.

407

(2)

Fair Credit and Charge Card Disclosure Act

409

(1)

Statement by John P. LaWare

410

(1)

Fair Credit Billing Act

411

(1)

American Express Co. v. Koerner

411

(4)

First National City Bank v. Mullarkey

415

(2)

Home Equity Loan Consumer Protection Act (HELC)

417

(1)

Consumers Union of the U.S., Inc. v. Federal Reserve Board

417

(3)

Rights and Remedies

420

(1)

Rescission

420

(1)

Damages

420

(1)

Turner v. Beneficial Corp.

420

(4)

Arbitration

424

(1)

Green Tree Financial Corp.-Alabama v. Randolph

424

(6)

Randolph v. Green Tree Financial Corp.-Alabama

430

(6)

Equal Credit Opportunity Act (ECOA)

436

(10)

Markham v. Colonial Mortgage Service Co.

436

(4)

Latimore v. Citibank Federal Savings Bank

440

(6)

Redlining, the Home Mortgage Disclosure Act (HMDA), and the Community Reinvestment Act (CRA)

446

(11)

The 21st Century CRA: How Internet Banks are Causing Regulators to Rethink the Community Reinvestment Act

447

(2)

Lee v. Board of Governors of the Federal Reserve System

449

(3)

United States v. Chevy Chase Federal Savings Bank

452

(5)

Real Estate Settlement Procedures Act (RESPA)

457

(5)

Heimmermann v. First Union Mortgage Corp.

457

(5)

Subprime and Predatory Lending

462

(21)

The Entrance of Banks Into Subprime Lending: First Union and the Money Store

463

(1)

OCC Advisory Letter AL 2003-2

464

(2)

United Companies Lending Corp. v. Sargeant

466

(6)

OCC Preemption Determination and Order

472

(5)

OCC, Final Rule: Bank Activities and Operations

477

(6)

Payday Lending

483

(4)

Bank Liabilities and Capital

Deposits

487

(48)

Types of Deposit Accounts

487

(1)

Lifeline or Basic Accounts

488

(1)

Certificates of Deposit

489

(1)

Marine Bank v. Weaver

490

(2)

Discriminatory Account Policies: The Truth in Savings Act

492

(1)

Garcia-Harding v. Bank Midwest, N.A.

492

(2)

Regulation of Deposit Amounts

494

(1)

Deposit Account Fees and ATM Fees

494

(1)

Video Trax, Inc. v. NationsBank, N.A.

495

(7)

Bank of America v. City and County of San Francisco

502

(11)

Check 21

513

(1)

Deposit Interest Rate Regulation

513

(1)

CF Industries, Inc. v. Commissioner of Internal Revenue

514

(3)

Deposit Insurance

517

(1)

Amount of Coverage

518

(1)

Who is Covered

519

(1)

Sweep Account Issues

520

(1)

Brokered Deposits

521

(1)

Gary Plastic Packaging Corp. v. Merrill Lynch, Pierce, Fenner & Smith, Inc.

521

(4)

FAIC Securities, Inc. v. United States

525

(4)

Set-Off

529

(1)

Farmers' National Bank v. Jones

529

(2)

Escheat Laws

531

(1)

Delaware v. New York

531

(2)

Former Official in Bankers Trust Fraud Case Claims a Set-Up

533

(2)

Non-Deposit Liabilities

535

(21)

Federal Funds Bought

535

(1)

Repos

535

(1)

Securities and Exchange Commission v. Miller

535

(7)

Manufacturers Hanover Trust Co. v. Drysdale Securities Corp.

542

(2)

Bankers' Acceptances

544

(1)

United States v. Dougherty

545

(2)

Letters of Credit

547

(1)

Federal Deposit Insurance Corp. v. Philadelphia Gear Corp.

548

(3)

Centrifugal Casting Machine Co. v. American Bank & Trust Co.

551

(5)

Payment Methods

556

(22)

Credit and Debit Cards

556

(1)

National Bancard Corp. v. VISA, U.S.A.

556

(5)

In re VISA Check/MasterMoney Antitrust Litigation

561

(4)

Smart Cards or Stored Value Cards

565

(1)

One-Card 101: Wachovia Hits the Pit and Becomes the Partner Bank of the UNC One Card

565

(1)

FDIC, Definition of ``Deposit''

566

(1)

Electronic Transfers

567

(1)

Bisby v. D.C. National Bank

568

(2)

Eisenberg v. Wachovia Bank, N.A.

570

(4)

E-Money

574

(1)

Cyberbanking: Legal and Regulatory Considerations for Banking Organizations

574

(4)

Bank Capital

578

(23)

Evolution of Bank Capital Requirements

579

(1)

Inadequate Capital as an Unsafe and Unsound Practice

579

(1)

First National Bank of Bellaire v. Comptroller of the Currency

579

(3)

Federal Deposit Insurance Corp. v. Bank of Coushatta

582

(3)

Capital Ratios and the Basel Accord

585

(2)

Trading and Capital-Markets Activities Manual

587

(2)

Proposals for a New Accord

589

(2)

Capital in Other Contexts

591

(3)

Special Issues

594

(1)

Merchant Banking

594

(1)

Securitizations

595

(1)

Summary of the Basel Committee's: ``The New Basel Capital Accord''

596

(1)

Subordinated Debt

597

(1)

The Feasibility and Desirability of Mandatory Subordinated Debt

598

(1)

Savings Associations

599

(2)

Supervision, Enforcement, and Failed Bank Resolution

Bank Supervision

601

(6)

Camels Ratings System

602

(1)

FDIC, Manual of Examination Policies

602

(5)

Enforcement Powers

607

(14)

History of Enforcement Activities

607

(2)

Types of Enforcement Actions

609

(1)

Informal Supervisory and Enforcement Actions

609

(1)

Formal Enforcement Mechanisms

609

(3)

Conduct of the Administrative Process

612

(1)

Matter of Seidman

613

(8)

Failed Bank Resolution

621

(50)

Open Bank Assistance

621

(1)

Prompt Corrective Action

621

(1)

Closure of Bank

622

(1)

Resolution Methods

622

(1)

Redistributing Bank Insolvency Risks

623

(2)

Cross-Guarantees, the Controlling Company Guarantee Provision, and Source of Strength

625

(1)

Redistributing Bank Insolvency Risks

625

(4)

Back to the Parent: Holding Company Liability for Subsidiary Banks

629

(3)

Creditors and Priorities

632

(1)

Bank Insolvency Law Now That it Matters Again

632

(4)

Liability of Institution-Affiliated Parties, Including Officers, Directors, and Attorneys

636

(1)

Cease and Desist Order Against Institution-Affiliated Party

636

(1)

Kaye, Scholer and the OTS -- Did Anyone Go Too Far?

636

(5)

Kaye, Scholer, FIRREA, and the Desirability of Early Closure

641

(3)

Actions by Conservator or Receiver to Recover Losses from Officers or Directors

644

(1)

Resolution Trust Corp. v. Walde

644

(5)

Special Standards for Professional Negligence Actions Brought by Conservators or Receivers

649

(1)

A Political Economy of the Business Judgment Rule in Banking: Implications for Corporate Law

649

(2)

O'Melveny & Myers v. Federal Deposit Insurance Corp.

651

(3)

Atherton v. Federal Deposit Insurance Corp.

654

(3)

Criminal Sanctions

657

(1)

Examining the Increase in Federal Regulatory Requirements and Penalties

657

(8)

Claims by Debtors

665

(1)

Bank Insolvency Law Now That it Matters Again

665

(1)

MotorCity of Jacksonville, Ltd. v. Southeast Bank, N.A.

666

(5)

Geographic Expansion, Mergers, and Antitrust

Geographic Expansion

671

(31)

The History of In-State Branching Prior to Riegle-Neal

671

(1)

First National Bank in Plant City v. Dickinson

672

(4)

Clarke v. Securities Industry Ass'n

676

(6)

The History of Interstate Branching Prior to Riegle-Neal

682

(1)

Conference of state Bank Supervisors v. Office of Thrift Supervision

682

(3)

Bank One, Utah, N.A. v. Guttau

685

(7)

The History of Interstate Banking Prior to Riegle-Neal

692

(1)

Northeast Bancorp, Inc. v. Board of Governor of the Federal Reserve System

692

(10)

The Riegle-Neal Act

702

(4)

Repeal of the Douglas Amendment

703

(1)

Interstate Branching

703

(2)

Ban on Interstate Branching for Deposit Production

705

(1)

Bank Mergers and Acquisitions

706

(6)

Form of Combination

707

(2)

Business Issues

709

(2)

Regulatory Approvals

711

(1)

Antitrust Review

712

(29)

Definition of the Relevant Product Market

714

(1)

United States v. Philadelphia National Bank

714

(4)

United States v. Connecticut National Bank

718

(5)

The Influence of Enhanced Thrift Institution Powers on Commercial Bank Market Expansion

723

(1)

Convenience and Needs of the Community

724

(1)

County National Bancorporation v. Board of Governors of the Federal Reserve System

724

(5)

Market Concentration

729

(1)

The Influence of Enhanced Thrift Institution Powers on Commercial Bank Market Expansion

729

(1)

Federal Reserve System Research and Statistics

730

(3)

Order Approving the Merger of Bank Holding Companies

733

(3)

Mitigating Factors

736

(1)

Bank Mergers in Concentrated Markets: The Role of Mitigating Factors

736

(3)

Deposit Caps

739

(2)

Thrift Mergers and Acquisitions

741

(5)

Fort Worth National Corp. v. FSLIC

741

(5)

Director Interlocks

746

(7)

BankAmerica Corp. v. United States

746

(7)

Trust and Other Activities

Banks as Trustees

753

(10)

First National Bank of Bay City v. Fellows

753

(3)

American Trust Co. v. South Carolina State Board of Bank Control

756

(4)

Mullane v. Central Hanover Bank & Trust Co.

760

(3)

Fiduciary Standards

763

(17)

In re Bank of New York

764

(2)

Matter of OnBank & Trust Co.

766

(3)

First Alabama Bank of Montgomery, N.A. v. Martin

769

(6)

Central National Bank of Mattoon v. United States Department of Treasury

775

(5)

Pension Fund Management

780

(9)

Laborers National Pension Fund v. Northern Trust Quantitative Advisors, Inc.

780

(9)

Safe Deposit Boxes

789

(7)

National Safe Deposit Co. v. Stead

790

(3)

Morgan v. Citizens Bank of Spring Hope

793

(3)

Fund Transfer Services

796

(7)

Banca Commerciale Italiana, New York Branch v. Northern Trust International Banking Corp.

797

(6)

Securities Activities

Historical Limitations

803

(25)

Early Restrictions

803

(1)

Block v. Pennsylvania Exchange Bank

803

(3)

The Glass-Steagall Act

806

(1)

Securities Industry Ass'n v. Board of Governors of the Federal Reserve System

806

(3)

Investment Company Institute v. Camp

809

(2)

Brokering Securities

811

(1)

American Bankers Ass'n v. Securities and Exchange Commission

811

(5)

Securities Industry Ass'n v. Board of Governors of the Federal Reserve System

816

(2)

Underwriting Securities

818

(1)

Securities Industry Ass'n v. Board of Governors of the Federal Reserve System

819

(6)

Thrift Securities Activities

825

(1)

Securities Industry Ass'n v. Federal Home Loan Bank Board

826

(2)

The Gramm-Leach-Bliley Act (GLBA)

828

(10)

Background

828

(1)

CIT Group, Inc. v. Citicorp

829

(2)

Broker-Dealer Registration

831

(3)

Underwriting

834

(2)

Merchant Banking

836

(2)

Bank Securities Sales

838

(24)

In the Matter of NationsSecurities and NationsBank, N.A.

839

(3)

NASD Regulation Fines Citicorp Securities $25,000; Orders $300,000 in Disgorgement

842

(1)

Press v. Chemical Investment Services Corp.

843

(3)

Charter House, Inc. v. First Tennessee Bank, N.A.

846

(3)

In the Matter of First Union Securities, Inc.

849

(8)

In the Matter of Deutsche Asset Management, Inc.

857

(5)

Margin Requirements

862

(8)

Response to an Inquiry from Senator John C. Danforth

863

(4)

Schy v. Federal Deposit Insurance Corp.

867

(3)

Clearing and Settlement

870

(7)

Alex. Brown & Sons, Inc. v. Marine Midland Banks, Inc.

870

(3)

In the Matter of The Chase Manhattan Bank, N.A.

873

(2)

Fidelity Partners, Inc. v. First Trust Co. of New York

875

(2)

Merger Activities

877

(3)

Norwest Bank Minnesota v. Sween Corp.

877

(3)

Mutual Funds

880

(10)

In the Matter of The Bank of California, N.A.

880

(2)

Olesh v. Dreyfus Corp.

882

(8)

Trust Indentures

890

(8)

Zeffiro v. First Pennsylvania Banking and Trust Co.

891

(3)

Elliott Associates v. J. Henry Schroder Bank & Trust Co.

894

(4)

Commercial Paper

898

(5)

Ryder International Corp. v. First American National Bank

899

(4)

Derivatives

Introduction to Derivatives

903

(15)

Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Curran

903

(8)

Derivatives: Practices and Principles

911

(7)

Banks Enter the Derivatives Business

918

(4)

Federal Regulation of Bank Activities in the Commodities Markets

918

(4)

Hedging

922

(7)

Credit Derivatives: Guidelines for National Banks

922

(4)

Greene County Bank v. Federal Deposit Insurance Corp.

926

(3)

The Treasury Amendment

929

(4)

Dunn v. Commodity Futures Trading Commission

929

(4)

Over-the-Counter Derivatives

933

(21)

Procter & Gamble Co. v. Bankers Trust Co.

934

(9)

Caiola v. Citibank, N.A.

943

(11)

Accounting for Derivatives

954

(10)

Recommendations for Public Disclosure of Trading and Derivatives Activities of Banks and Securities Firms

954

(1)

The Impact of Statement of Financial Accounting Standards 133 on the Banking Industry

954

(10)

Secondary Liability

964

(5)

In the Matter of Earl K. Riley Co.

964

(5)

Insurance

Introduction to Insurance

969

(8)

The Business of Insurance

969

(1)

New York Life Insurance Co. v. Statham

969

(3)

Regulation of Insurance -- Background and History

972

(1)

The Gramm-Leach-Bliley Act and State Regulation of the Business of Insurance

973

(3)

Insurance Expands its Borders

976

(1)

Bank Insurance Activities Prior to Gramm-Leach-Bliley

977

(28)

What Will It Take for Bank Insurance to Succeed in the United States?

978

(4)

National Banks

982

(1)

Saxon v. Georgia Ass'n of Independent Insurance Agents, Inc.

982

(3)

Independent Insurance Agents of America v. Ludwig

985

(2)

OCC Interpretive Letter

987

(5)

Independent Insurance Agents of America, Inc. v. Hawke

992

(3)

State Banks

995

(2)

Citicorp v. Board of Governors of the Federal Reserve System

997

(7)

Nonbanking Subsidiary of a Bank Holding Company

1004

(1)

The Gramm-Leach-Bliley Act (GLBA)

1005

(20)

Nonbanking Subsidiary of a Holding Company

1006

(1)

National Banks and National Bank Subsidiaries

1007

(1)

State Banks and State Bank Subsidiaries

1008

(1)

State Regulation of Insurance

1009

(1)

The Gramm-Leach-Bliley Act and State Regulation of the Business of Insurance

1009

(9)

In re Lutheran Brotherhood Variable Insurance Products Co. Sales Practices Litigation

1018

(7)

International Banking

Foreign Bank Operations in the United States

1025

(18)

International Banking Act

1025

(1)

United States v. Lewis

1025

(3)

McHugh v. Westpac Banking Corp.

1028

(3)

International Coordination of Regulation

1031

(1)

International Banking: Strengthening the Framework for Supervising International Banks

1032

(2)

United States v. BCCI Holdings (Luxembourg), S.A.

1034

(4)

United States v. Drogoul

1038

(1)

Foreign Bank Supervision Enhancement Act

1039

(1)

International Banking: Strengthening the Framework for Supervising International Banks

1039

(2)

The Gramm-Leach-Bliley Act (GLBA)

1041

(2)

Regulatory Framework

1043

(1)

International Operations of United States Banks

1043

(12)

Apfel v. Mellon

1044

(3)

Allied Bank International v. Banco Credito Agricola de Cartago

1047

(4)

Citibank, N.A. v. Wells Fargo Asia, Ltd.

1051

(4)

Comparative Regulation

1055

(18)

Japan

1055

(1)

Super - Regulator: A Comparative Analysis of Securities and Derivatives Regulation

1056

(4)

United Kingdom

1060

(1)

Financial Services Authority

1061

(2)

Germany

1063

(1)

The New German Financial Supervisory Authority

1064

(6)

European Union

1070

(3)

International Monetary System

1073

(12)

Norman v. Baltimore & Ohio Railroad Co.

1075

(4)

Trans World Airlines, Inc. v. Franklin Mint Corp.

1079

(3)

Elliott Associates, L.P. v. Banco De La Nacion

1082

(3)

Money Laundering

1085

(19)

California Bankers Ass'n v. Shultz

1087

(6)

Lee v. Bankers Trust Co.

1093

(3)

United States v. Giraldi

1096

(4)

United States v. One 1997 E35 Ford Van

1100

(4)

Financial Embargos

1104

(7)

Dames & Moore v. Regan

1105

(1)

Banque San Paolo v. Iraqi State Co. for Food Stuff Trading

1105

(6)

Index

1111

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Regulation of Bank Financial Service Activities : Cases and Materials

Summary

Table of Contents

Supplemental Materials