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Law & Guidance Manual

The Law & Guidance Manual includes select statutes, rules, legal opinions, supervisory memorandum, and regulatory guidance applicable to our regulated entities. It has been updated with changes through September 30, 2011.

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Law & Guidance Manual - Updated through September 30, 2011 Download the Law & Guidance Manual


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New Actions since October 1, 2011
Not included in the Law & Guidance Manual

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New Actions Sorted by Effective Date
Effective Type Subject Matter Applicable Entitles

01/09/12

SM -
Supervisory Memorandum

SM 1029 (pdf version) Standards for the Risk Management of Corporate Account Takeovers

Bank

01/05/12

Rule - Amendment

§25.3  What Requirements Apply to a Non-Model Contract or Waiver?

PFC

01/05/12

Rule - New

§25.9 Package Sales.

PFC

01/05/12

Rule - New

§33.53 Exemption for Debt Management Service Providers.

MSB

12/12/11

SM -
Supervisory Memorandum

SM 1022 (pdf version) Examination Rating System for Money Services Businesses

MSB

12/12/11

SM -
Supervisory Memorandum

SM 1023 (pdf version) Examination Frequency Policy for Money Services Businesses

MSB

12/01/11

SM -
Supervisory Memorandum

SM 1014 (pdf version) Examination Rating System for Perpetual Care Cemeteries

PCC

11/10/11

Rule - Amendment

§25.17  Guaranty Fund.
§25.19  Guaranty Fund Claims.
§25.24  What fees must I pay for an examination?
§25.41  How Do I Provide Information to Consumers on How to File a Complaint and What Action Must I Take When I Receive a Complaint?

PFC

11/10/11

Rule - Repealed

Subchapter C. Investment of Trust Funds
§25.51  Definitions.
§25.52  Prudent Person Rule.
§25.53  Permitted Investments.
§25.54  Investment Limitations.
§25.55  Mutual Funds.
§25.56  Repurchase Agreements.
§25.57  Other Investments Permitted by the Department.
§25.58  Reporting Requirements.
§25.59  Transition Provisions.

PFC

11/10/11

Rule - Amendment

§26.1  What fees must I pay to operate a perpetual care cemetery?
§26.2  What Records am I Required to Maintain?
§26.4  When Must I Order and Set a Burial Marker or Monument in my Perpetual Care Cemetery?

PCC

11/10/11

Rule - Amendment

§27.1  Notices to Applicants; Application Processing Times; Appeals.

PFC, PCC

11/10/11

Rule - Amendment

§33.27  What Fees Must I Pay to Get and Maintain a License?

MSB

10/28/11

SM -
Supervisory Memorandum

SM 1025 (pdf version) Level II Full Scope Examinations – Temporary Program

Bank
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New Actions Sorted by Type
Effective Type Subject Matter Applicable Entitles

11/10/11

Rule - Repealed

Subchapter C. Investment of Trust Funds
§25.51  Definitions.
§25.52  Prudent Person Rule.
§25.53  Permitted Investments.
§25.54  Investment Limitations.
§25.55  Mutual Funds.
§25.56  Repurchase Agreements.
§25.57  Other Investments Permitted by the Department.
§25.58  Reporting Requirements.
§25.59  Transition Provisions.

PFC

01/05/12

Rule - Amendment

§25.3  What Requirements Apply to a Non-Model Contract or Waiver?

PFC

11/10/11

Rule - Amendment

§25.17  Guaranty Fund.
§25.19  Guaranty Fund Claims.
§25.24  What fees must I pay for an examination?
§25.41  How Do I Provide Information to Consumers on How to File a Complaint and What Action Must I Take When I Receive a Complaint?

PFC

11/10/11

Rule - Amendment

§26.1  What fees must I pay to operate a perpetual care cemetery?
§26.2  What Records am I Required to Maintain?
§26.4  When Must I Order and Set a Burial Marker or Monument in my Perpetual Care Cemetery?

PCC

11/10/11

Rule - Amendment

§27.1  Notices to Applicants; Application Processing Times; Appeals.

PFC, PCC

11/10/11

Rule - Amendment

§33.27  What Fees Must I Pay to Get and Maintain a License?

MSB

01/05/12

Rule - New

§25.9 Package Sales.

PFC

01/05/12

Rule - New

§33.53 Exemption for Debt Management Service Providers.

MSB

12/01/11

SM -
Supervisory Memorandum

SM 1014 (pdf version) Examination Rating System for Perpetual Care Cemeteries

PCC

12/12/11

SM -
Supervisory Memorandum

SM 1022 (pdf version) Examination Rating System for Money Services Businesses

MSB

12/12/11

SM -
Supervisory Memorandum

SM 1023 (pdf version) Examination Frequency Policy for Money Services Businesses

MSB

10/28/11

SM -
Supervisory Memorandum

SM 1025 (pdf version) Level II Full Scope Examinations – Temporary Program

Bank

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Key

Type
  
Entities
Statute | Statute   Bank | Bank
Rule | Rule   BHC | Banks & Holding Companies
LO | Legal Opinion   DOB | Department of Banking
SM | Supervisory Memorandum   FBA | Foreign Bank Agencies
RG | Regulatory Guidance   FC | Finance Commission
  MSB | Money Services Businesses
    PCC | Perpetual Care Cemeteries
    PCSEA | Private Child Support Enforcement Agencies
    PFC | Prepaid Funeral Contract Sales
    TC | Commercial Trust Companies