REGULATIONS

• § 9.1 - Authority, purpose, and scope.

• § 9.2 - Definitions.

• § 9.3 - Approval requirements.

• § 9.4 - Administration of fiduciary powers.

• § 9.5 - Policies and procedures.

• § 9.6 - Review of fiduciary accounts.

• § 9.7 - Multi-state fiduciary operations.

• § 9.8 - Recordkeeping.

• § 9.9 - Audit of fiduciary activities.

• § 9.10 - Fiduciary funds awaiting investment or distribution.

• § 9.11 - Investment of fiduciary funds.

• § 9.12 - Self-dealing and conflicts of interest.

• § 9.13 - Custody of fiduciary assets.

• § 9.14 - Deposit of securities with state authorities.

• § 9.15 - Fiduciary compensation.

• § 9.16 - Receivership or voluntary liquidation of bank.

• § 9.17 - Surrender or revocation of fiduciary powers.

• § 9.18 - Collective investment funds.

• § 9.20 - Transfer agents.

INTERPRETATIONS

• § 9.100 - Acting as indenture trustee and creditor.

• § 9.101 - Providing investment advice for a fee.