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Capital One's Response to the Federal Reserve's Tenth Request for Additional Information (December 19, 2024)
A. KLEINHAUS EMILY D. JOHNSON HERBERT M. WACHTELL EDWARD D. HERLIHY WAYNE...Y . 10019-6150 KARESSA L. CAIN RONALD C. CHEN JACOB A. KLING RAAJ S. NARAYAN
URL: https://www.federalreserve.gov/foia/files/capone-response-to-tenth-request-for-information-20241219.pdf
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SECTION 218.722—Exemption Allowing Banks to Calculate Trust and Fiduciary Compensation on a Bankwide Basis
2A—Monetary Policy Objectives SECTION 2B—Appearances Before and Reports...9A—Participation in Lotteries Prohibited SECTION 9B—Resolution of Clearing
URL: https://www.federalreserve.gov/frrs/regulations/section-218722-exemption-allowing-banks-to-calculate-trust-and-fiduciary-compensation-on-a-bankwide-basis.htm
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SECTION 218.723—Exemptions for Special Accounts, Transferred Accounts, Foreign Branches and a de Minimis Number of Accounts
2A—Monetary Policy Objectives SECTION 2B—Appearances Before and Reports...9A—Participation in Lotteries Prohibited SECTION 9B—Resolution of Clearing
URL: https://www.federalreserve.gov/frrs/regulations/section-218723-exemptions-for-special-accounts-transferred-accounts-foreign-branches-and-a-de-minimis-number-of-accounts.htm
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Regulation W Transactions Between Member Banks and Their Affiliates
2A—Monetary Policy Objectives SECTION 2B—Appearances Before and Reports...9A—Participation in Lotteries Prohibited SECTION 9B—Resolution of Clearing
URL: https://www.federalreserve.gov/frrs/regulations/regulation-w-transactions-between-member-banks-and-their-affiliates.htm
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SECTION 1026.100—Definitions
2A—Monetary Policy Objectives SECTION 2B—Appearances Before and Reports...9A—Participation in Lotteries Prohibited SECTION 9B—Resolution of Clearing
URL: https://www.federalreserve.gov/frrs/regulations/section-1026100-definitions.htm
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SECTION 218.775—Exemption from the Definition of Broker for Banks Effecting Certain Excepted or Exempted Transactions in Investment Company Securities
2A—Monetary Policy Objectives SECTION 2B—Appearances Before and Reports...9A—Participation in Lotteries Prohibited SECTION 9B—Resolution of Clearing
URL: https://www.federalreserve.gov/frrs/regulations/section-218775-exemption-from-definition-of-broker-for-banks-investment-company-securities.htm
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SECTION 237.11—Special Rules for Affiliates
2A—Monetary Policy Objectives SECTION 2B—Appearances Before and Reports...9A—Participation in Lotteries Prohibited SECTION 9B—Resolution of Clearing
URL: https://www.federalreserve.gov/frrs/regulations/section-23711-special-rules-for-affiliates.htm
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SECTION 237.20—Definitions
2A—Monetary Policy Objectives SECTION 2B—Appearances Before and Reports...9A—Participation in Lotteries Prohibited SECTION 9B—Resolution of Clearing
URL: https://www.federalreserve.gov/frrs/regulations/section-23720-definitions.htm
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SECTION 218.740—Defined Terms Relating to the Sweep Accounts Exception from the Definition of Broker
2A—Monetary Policy Objectives SECTION 2B—Appearances Before and Reports...9A—Participation in Lotteries Prohibited SECTION 9B—Resolution of Clearing
URL: https://www.federalreserve.gov/frrs/regulations/section-218740-defined-terms-relating-to-the-sweep-accounts-exception-from-the-definition-of-broker.htm
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SECTION 253.3—Applicability
2A—Monetary Policy Objectives SECTION 2B—Appearances Before and Reports...9A—Participation in Lotteries Prohibited SECTION 9B—Resolution of Clearing
URL: https://www.federalreserve.gov/frrs/regulations/section-2533-applicability.htm
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