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Electronic Filing and Disclosure of Beneficial Ownership Reports

aml-bsa-fincen · OCC · Rule · Published 2003-09-22 · Effective 2003-09-22 · 68 FR 54981

Document

Document number
03-24057
Federal Register citation
68 FR 54981
CFR reference
12 CFR 11
Type
Rule
Action
Interim rule with request for comments.
Category
aml-bsa-fincen
Sub-agency
OCC
Publication date
2003-09-22
Effective date
2003-09-22
Treasury docket
Docket No. 03-23

Abstract

The Office of the Comptroller of the Currency (OCC) is issuing this interim rule, with a request for comments, to amend our rules, policies, and procedures to require the electronic filing of beneficial ownership reports by officers, directors, and major shareholders of national banks that have equity securities registered under the Securities Exchange Act of 1934 (registered national banks). This interim rule also requires that all reports required to be filed with the OCC under section 16(a) of the Securities Exchange Act of 1934 (Exchange Act) must be filed electronically and posted on a registered national bank's Web site, if it has one, as soon as practicable. This rule clarifies procedures for officers, directors, and principal shareholders of registered national banks to comply with these mandated electronic filing requirements.

Source

Authoritative
Federal Register document
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