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SCHEDULE I-OTHER SECURITIES
Book value 1
Bonds, notes, and debentures a 3.
1 State briefly in a footnote the basis for determining the amounts shown in this column. · State in a footnote the aggregate amount and book value of foreign securities included.
: State in a footnote the aggregate (a) principal amount, (b) book value, and (c) market value of bonds, notes, and debentures that are less than "investment grade". If market value is determined on any basis other than market quotations at balance sheet date, explain.
• State in a footnote the aggregate market value.
Real estate loans:
Insured or guaranteed by the U.S. Government or its agencies...
Total other loans reported in balance sheet.
1 Il impractical to classify foreign branch and foreign subsidiary loans in accordance with this schedule, a separate caption stating the total amount of such loans may be inserted. Such action should be explained in a footnote.
1 Il impractical to consolidate foreign branch and foreign subsidiary bank premises and equipment in accordance with the breakdown required by this schedule, a separate caption stating the total amount of all such property may be inserted. Such caption should be explained appropriately in a footnote. 2 State the basis of determining the amounts in column A.
If provision for depreciation and amortization is credited in the books directly to the asset accounts, the amounts for the last fiscal year shall be stated in an explanatory footnote.
The nature and amount of significant additions (other than provisions for depreciation and amortization) and de ductions from depreciation accounts shall be stated in an explanatory footnote.
• Show totals (corresponding to columns A and B) representing amounts reported for Federal income tax purposes
SCHEDULE V-INVESTMENTS IN, INCOME FROM DIVIDENDS, AND EQUITY IN EARNINGS AND LOSS OF UNCONSOLIDATED
1 Equity shall include advances reported in column B to the extent recoverable.
State as to any dividends other than cash the basis on which they have been reported as income. If any such dividend received has been credited to income in an amount differing from that charged to surplus and/or undivided profits by the disbursing subsidiary, state the amount of such difference and explain.
1 Do not include any provision for possible loan losses that the bank establishes as a precautionary measure. Include only any provision that (1) has been established through a charge against income, (2) represents management's judgment as to possible loss or value depreciation, and (3) is in excess of the provision taken under the Treasury tax formula.
2 Describe briefly in a footnote any such addition.
* Describe briefly in a footnote the basis used in computing the amount accumulated in the allowance at the end of the period. State the amount that could have been deducted for Federal income tax purposes if such amount is in excess of the amount provided by the bank pursuant to the Treasury tax formula.
NOTE: The sum of the balances should equal the amount of allowance for loan losses reported in the balance sheet.
SCHEDULE VIII-RESERVES ON SECURITIES Item
Amount 1 Balance at beginning of period.Additions due to mergers and absorp
1 Do not include any provision the bank establishes as a precautionary measure.
2 Describe briefly in a footnote any such addition.
3 Balance should equal the amount of Reserves on securities reported in the balance sheet. [34 F.R. 20326, Dec. 30, 1969; 35 F.R. 385, Jan. 10, 1970; 35 F.R. 760, Jan. 20, 1970]
Sec. 336.735–13 Financial interests. 336.735–14 Use of Corporation property. 336.735–15 Misuse of information. 336.735–16 Indebtedness. 336.735–17 Gambling, betting, and lotteries. 336.735–18 General conduct prejudicial to
the Government. 336.735–19 Miscellaneous statutory provi
sions. Subpart C-Ethical and Other Conduct and Re
sponsibilities of Special Corporation Employees 336.735–21 Use of Corporation employment. 336.735-22 Use of inside information. 336.735-23 Coercion. 336.735–24 Gifts, entertainment, and favors. 336.735-25 Miscellaneous statutory provi
Financial Interests 336.735-31 Employees required to submit
statements. 336.735–312 Employees' complaint on filing
requirement. 336.735–32 Employees not required to sub
mit statements. 336.735–33 Time and place for submission of
employees' statements. 336.735–34 Supplementary statements. 336.735–35 Interests of employees' relatives. 336.735–36 Information not known by em
ployees. 336.735–37 Information prohibited. 336.735–38 Confidentiality of employees'
statements. 336.735-39 Effect of employees' statements
on other requirements.
PART 336 EMPLOYEE RESPONSIBILI
TIES AND CONDUCT
Subpart A-General Provisions Sec. 336.735-1 Purpose. 336.735-2 Definitions. 336.735-3 Effective date, distribution, and
Responsibilities of Employees 336.735–10 Proscribed actions. 336.735–11 Gifts, entertainment, and favors. 336.735–12 Outside employment.
Sec. 336.735-40 Specific provisions or regulations
for special Corporation em
ployees. 336.735-41 Reviewing statements and re
porting conflicts of interest. 336.735–42 Disciplinary and other remedial
action. Appendix A–Employees who must file statements.
AUTHORITY: The provisions of this part 336 issued under E.O. 11222; 3 CFR, 1964–1965 Comp.; 5 CFR 735.104.
SOURCE: The provisions of this Part 336 appear at 31 F.R. 5751, Apr. 14, 1966, unless otherwise noted.
Subpart A—General Provisions & 336.735–1 Purpose.
The maintenance of unusually high standards of honesty, integrity, impartiality, and conduct by Corporation employees and special Corporation employees is essential to assure the proper performance of the Corporation business and the maintenance of confidence by citizens in their Government. The avoidance of misconduct and conflicts of interests on the part of Corporation employees and special Corporation employees through informed judgment is indispensable to the maintenance of these standards. To accord with these concepts, this part sets forth the Corporation's regulations covering the Corporation's employees and special Corporation employees, prescribing standards of conduct and responsibilities, and governing statements reporting employment and financial interests. § 336.735-2 Definitions. In this part:
(a) "Employee" means an officer or employee of the Corporation, but does not include a special Corporation employee.
(b) "Executive order" means Executive Order 11222 of May 8, 1965.
(c) “Person" means an individual, a bank, a corporation, a company, an association, a firm, a partnership, a society a joint stock company, or any other organization or institution.
(d) “Special Corporation employee" means a “special Government employee" as defined in section 202 of Title 18 of the United States Code.
§ 336.735–3 Effective date, distribution,
and counseling. (a) This part and any amendment thereto shall be effective after approval by the Civil Service Commission and upon publication in the FEDERAL REGISTER.
(b) The Personnel Division of the Corporation shall distribute one copy (and supply additional copies on request) of this part to every employee and every special Corporation employee within 90 days after the effective date, and to each new employee and special Corporation employee at the time of entrance on duty, and distribute to every employee and every special Corporation employee each calendar year thereafter a reminder of the basic provisions of this part.
(c) A Counselor designated herein and Deputy Counselors, appointed by the Chariman of the Board, shall be available for counseling and guidance respecting statutes and regulations affecting employee responsibility and conduct, including interpretations of the provisions of this part, and each employee and special Corporation employee shall be notified of this service by the Personnel Division at the time he receives a copy of this part.
(d) The Assistant to the Chairman of the Board of Directors of the Corporation shall act as the Corporation's Counselor. Subpart B-Ethical and Other Conduct
and Responsibilities of Employees § 336.735–10 Proscribed actions.
An employee shall avoid any action, whether or not specifically prohibited by this subpart which might result in, or create the appearance of:
(a) Using public office for private gain;
(b) Giving preferential treatment to any person;
(c) Impeding Corporation efficiency or economy;
(d) Losing complete independence or impartiality;
(e) Making a Corporation decision outside official channels; or
(f) Affecting adversely the confidence of the public in the integrity of the Corporation. (32 F.R. 13964, Oct. 7, 1967] § 336.735–11 Gifts, entertainment, and
favors. (a) Except as provided in paragraphs (b) and (f) of this section, an employee
shall not solicit or accept, directly or in- or donation in a nominal amount made directly, any gift, gratuity, favor, enter- on a special occasion such as marriage, tainment, loan, or any other thing of illness, or retirement. monetary value, from a person who:
(e) An employee shall not accept & (1) Has, or is seeking to obtain, con- gift, present, decoration, or other thing tractual or other business or financial from a foreign government unless aurelations with the Corporation;
thorized by Congress as provided by the (2) Conducts operations or activities Constitution and in Public Law 89–673, that are regulated or examined or may 80 Stat. 952. be regulated or examined by the Corpo- (f) Neither this section nor 8 336.735– ration;
12 precludes an employee from receipt (3) Has interests that may be sub- of bona fide reimbursement, unless prostantially affected by the performance or hibited by law, for expenses of travel and noperformance of his official duty.
such other necessary subsistence as is (b) Paragraph (a) of this section compatible with this part for which no shall not apply:
Corporation payment or reimbursement (1) Where obvious family or personal is made. However, this paragraph does relationships govern (such as those be- not allow an employee to be reimbursed, tween the parents, children, or spouse of or payment to be made on his behalf, for the employee and the employee) when excessive personal living expenses, gifts, the circumstances make it clear that it entertainment, or other personal beneis those relationships rather than the fits, nor does it allow an employee to be business of the persons concerned which reimbursed by a person for travel on are the motivating factors;
official business under Corporation or(2) To the acceptance of food, re- ders when reimbursement is prescribed freshments, and accompanying enter- by the Corporation. tainment of nominal value on infrequent [31 F.R. 5751, Apr. 14, 1966, as amended at occasions in the ordinary course of a 32 F.R. 13964, Oct. 7, 1967) luncheon or dinner meeting or other
§ 336.735–12 Outside employment. function or on an inspection tour where an employee is properly in attendance; (a) An employee shall not engage in
(3) The acceptance of lodging on rare outside employment or other outside or infrequent occasions where an em- activity not compatible with the full and ployee is properly in attendance and cir- proper discharge of the duties and recumstances thereof are reported to the sponsibilities of his Corporation employCorporation;
ment. Incompatible activities include (4) To the acceptance of unsolicited but are not limited to: advertising or promotional material such (1) Acceptance of a fee, compensaas pens, pencils, note pads, calendars, and tion, gift, payment of expense, or any other items of nominal intrinsic value; other thing of monetary value in cirand
cumstances in which acceptance may (5) To the acceptance and loans from result in, or create the appearance of, banks or other financial institutions on conflicts of interests; or customary terms to finance proper and (2) Outside employment which tends usual activities of employees, such as to impair his mental or physical capacity home mortgage loans. However, a Cor- to perform his Corporation duties and poration examiner or assistant examiner responsibilities in an acceptable manner. shall not accept a loan of gratuity from
(b) An employee shall not receive any any bank examined by him or any bank
salary or anything of monetary value he has the authority to examine or from
from a private source as compensation
for his services to the Corporation (18 any person connected therewith (18
U.S.C. 209). U.S.C. 212 and 213).
(c) A Corporation examiner or assist(c) [Reserved]
ant examiner shall not perform any (d) An employee shall not solicit a
other service, for compensation, for any contribution from another employee for
bank, or for any person connected therea gift to an official superior, make a do- with (18 U.S.C. 1909). nation as a gift to an official superior, or (d) Employees are encouraged to enaccept a gift from an employee receiving gage in teaching, lecturing, speaking less pay than himself (5 U.S.C. 7351). and writing relating to the Corporation's However, this paragraph does not pro- functions or responsibilities. However, hibit & voluntary gift of nominal value an employee shall not, either for or without compensation, engage in any such (3) Engage in, directly or indirectly, activity that is dependent on informa- a financial transaction as a result of, tion obtained as a result of his Corpora- or primarily relying on, information obtion employment except when that in- tained through his Corporation employformation has been made available to ment. the general public or will be made avail- (b) This section does not preclude an able on request, or when the Corporation employee from having a financial interChairman gives written authorization est or engaging in financial transactions for use of nonpublic information on the to the same extent as a private citizen basis that the use is in the public interest. not employed by the Corporation so long And no employee shall write for publica
as it is not prohibited by law, the Extion or accept invitations to speak before
ecutive Order, this section, or the regubanking or other public organizations on
lations in this part. matters concerning the Corporation
(31 F.R. 5751, Apr. 14, 1966, as amended at without prior approval and prior clear
32 F.R. 13964, Oct. 7, 1967) ance of their manuscript by the Corporation. In addition, an employee who is a § 336.735–14 Use of Corporation propPresidential appointee covered by sec
erty. tion 401(a) of the Executive Order shall
An employee shall not directly or innot receive compensation or anything of monetary value for any consultation,
directly use, or allow the use of, Corlecture, discussion, writing, or appear
poration property of any kind, including ance, the subjecct matter of which is de- property leased to the Corporation, for voted substantially to the responsibilities,
other than officially approved activities. programs, or operations of the Corpora- An employee has a positive duty to protion, or which draws substantially on tect and conserve Corporation property, official data or ideas which have not be- including equipment, supplies, and other come part of the body of public informa- property entrusted or issued to him. tion. (e) An employee shall not engage in
§ 336.735–15 Misuse of information. outside employment under a State or For the purpose of furthering a prilocal governmen ex in accordance vate interest, an employee shall not, exwith Part 734 of the Civil Service Regu
cept as provided in § 336.735–12(d), dilations (5 CFR Part 734).
rectly or indirectly use, or allow the use (f) This section does not preclude an
of, official information obtained through employee from: (1) (Reserved]
or in connection with his Corporation (2) Participation in the activities of
employment which has not been made National or State political parties not
available to the general public. proscribed by law.
§ 336.735–16 Indebtedness. (3) Participation in the affairs of or
An employee shall pay each just fiaoceptance of an award for a meritorious
nancial obligation in a proper and timely public contribution or achievement given by a charitable, religious, professional,
manner, especially one imposed by law social, fraternal, nonprofit educational
such as Federal, State, or local taxes. and recreational, public service, or civic
For the purpose of this section, a "just organization.
financial obligation" means one acknowl(91 F.R. 5751, Apr. 14, 1966, as amended at edged by the employee or reduced to 82 F.R. 13964, Oct. 7, 1967)
judgment by a court, and “in a proper § 336.735–13 Financial interests.
and timely manner" means in a manner
that the Corporation will not be called (a) An employee shall not: (1) Own, directly or indirectly, or con
upon to assist a creditor in the collection
of a just financial obligation, and which trol the ownership of stock in an insured bank, without full disclosure in writing
the Corporation determines does not, to, and with the approval of, the Board
under the circumstances, reflect adof Directors of the Corporation.
versely on it as the employer. In the (2) Have a direct or indirect financial
event of dispute between an employee interest that conflicts substantially,
and an alleged creditor, this section does appears to conflict substantially, with not require the Corporation to deterhis Corporation duties and responsibili- mine the validity or amount of the disties; or