ethics

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TitleActionFR DocPublishedAgencyAgency NameExcerptsAbstractHTMLPDF
TitleActionFR DocPublishedAgencyAgency NameExcerptsAbstractHTMLPDF
Supplemental Standards of Ethical Conduct for Employees of the Department of the Treasury; CorrectionRule2015-0291802/12/2015DEPARTMENT OF THE TREASURYTreasury DepartmentThis document contains corrections to a final rule that was published in the Federal Register on Thursday, November 6, 2014. The final rule amended the Department of the Treasury's (the Department or Treasury) Supplemental Standards of … This document contains corrections to a final rule that was published in the Federal Register on Thursday, November 6, 2014. The final rule amended the Department of the Treasury's (the Department or Treasury) Supplemental Standards of Ethical Conduct for Employees of the Department of the Treasury (Supplemental Standards) that was issued by the Department with the concurrence of the Office of Government Ethics (OGE).supplemental-standards-of-ethical-conduct-for-employees-of-the-department-of-the-treasury-correctionFR-Doc-2015-02918
Supplemental Standards of Ethical Conduct for Employees of the Department of the TreasuryRule2014-2617311/06/2014DEPARTMENT OF THE TREASURYTreasury DepartmentThe Department of the Treasury (the ``Department'' or ``Treasury''), with the concurrence of the Office of Government Ethics (OGE), is amending the Supplemental Standards of Ethical Conduct for Employees of the Department of … The Department of the Treasury (the ``Department'' or ``Treasury''), with the concurrence of the Office of Government Ethics (OGE), is amending the Supplemental Standards of Ethical Conduct for Employees of the Department of the Treasury (the ``Supplemental Standards''). The Supplemental Standards apply only to Department personnel and augment the Standards of Ethical Conduct for Employees of the Executive Branch (``OGE Standards''). This final rule amends the Supplemental Standards to account for current Department structure resulting from organizational changes that established new offices or bureaus within Treasury and transferred certain functions and/or bureaus from the Department. This final rule also amends the Supplemental Standards applicable to employees of the Office of the Comptroller of the Currency (OCC), which generally prohibit OCC employees from investing in or borrowing from OCC supervised institutions.supplemental-standards-of-ethical-conduct-for-employees-of-the-department-of-the-treasuryFR-Doc-2014-26173
Regulatory Capital Rules: Regulatory Capital, Implementation of Basel III, Capital Adequacy, Transition Provisions, Prompt Corrective Action, Standardized Approach for Risk-weighted Assets, Market Discipline and Disclosure Requirements, Advanced Approaches Risk-Based Capital Rule, and Market Risk Capital RuleRule2013-2053609/10/2013FEDERAL DEPOSIT INSURANCE CORPORATIONFederal Deposit Insurance CorporationThe Federal Deposit Insurance Corporation (FDIC) is adopting an interim final rule that revises its risk-based and leverage capital requirements for FDIC-supervised institutions. This interim final rule is substantially identical to … The Federal Deposit Insurance Corporation (FDIC) is adopting an interim final rule that revises its risk-based and leverage capital requirements for FDIC-supervised institutions. This interim final rule is substantially identical to a joint final rule issued by the Office of the Comptroller of the Currency (OCC) and the Board of Governors of the Federal Reserve System (Federal Reserve) (together, with the FDIC, the agencies). The interim final rule consolidates three separate notices of proposed rulemaking that the agencies jointly published in the Federal Register on August 30, 2012, with selected changes. The interim final rule implements a revised definition of regulatory capital, a new common equity tier 1 minimum capital requirement, a higher minimum tier 1 capital requirement, and, for FDIC-supervised institutions subject to the advanced approaches risk-based capital rules, a supplementary leverage ratio that incorporates a broader set of exposures in the denominator. The interim final rule incorporates these new requirements into the FDIC's prompt corrective action (PCA) framework. In addition, the interim final rule establishes limits on FDIC-supervised institutions' capital distributions and certain discretionary bonus payments if the FDIC-supervised institution does not hold a specified amount of common equity tier 1 capital in addition to the amount necessary to meet its minimum risk-based capital requirements. The interim final rule amends the methodologies for determining risk-weighted assets for all FDIC-supervised institutions. The interim final rule also adopts changes to the FDIC's regulatory capital requirements that meet the requirements of section 171 and section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The interim final rule also codifies the FDIC's regulatory capital rules, which have previously resided in various appendices to their respective regulations, into a harmonized integrated regulatory framework. In addition, the FDIC is amending the market risk capital rule (market risk rule) to apply to state savings associations. The FDIC is issuing these revisions to its capital regulations as an interim final rule. The FDIC invites comments on the interaction of this rule with other proposed leverage ratio requirements applicable to large, systemically important banking organizations. This interim final rule otherwise contains regulatory text that is identical to the common rule text adopted as a final rule by the Federal Reserve and the OCC. This interim final rule enables the FDIC to proceed on a unified, expedited basis with the other federal banking agencies pending consideration of other issues. Specifically, the FDIC intends to evaluate this interim final rule in the context of the proposed well- capitalized and buffer levels of the supplementary leverage ratio applicable to large, systemically important banking organizations, as described in a separate Notice of Proposed Rulemaking (NPR) published in the Federal Register August 20, 2013. The FDIC is seeking commenters' views on the interaction of this interim final rule with the proposed rule regarding the supplementary leverage ratio for large, systemically important banking organizations.regulatory-capital-rules-regulatory-capital-implementation-of-basel-iii-capital-adequacy-transitionFR-Doc-2013-20536
Transfer and Redesignation of Certain Regulations Involving State Savings Associations Pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010Rule2011-1827608/05/2011FEDERAL DEPOSIT INSURANCE CORPORATIONFederal Deposit Insurance CorporationTitle III of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act or the Act) provided that the functions, powers, and duties of the Office of Thrift Supervision (OTS) relating to State saving … Title III of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the Dodd-Frank Act or the Act) provided that the functions, powers, and duties of the Office of Thrift Supervision (OTS) relating to State savings associations will transfer to the FDIC effective one year after July 21, 2010, the date that the Dodd-Frank Act was enacted. The Act also amended section 3 of the Federal Deposit Insurance Act (FDI Act) to designate the FDIC as the ``appropriate Federal banking agency'' for State savings associations. The FDIC is authorized to issue regulations pursuant to the FDI Act and other existing laws as the ``appropriate Federal banking agency'' (or under similar statutory terminology). As a result, pursuant to those laws, the FDIC, the newly-designated ``appropriate Federal banking agency'' for State savings associations, is authorized to issue certain regulations involving State savings associations. Consistent with the authority provided to the FDIC by the Dodd- Frank Act, the FDI Act, and other statutory authorities, the FDIC is reissuing and redesigning certain transferring OTS regulations. In republishing these rules, the FDIC is making only technical changes to existing OTS regulations (such as nomenclature or address changes). The FDIC is not republishing those OTS regulations for which other appropriate Federal banking agencies are authorized to act. In the future, the FDIC may take other actions related to the transferred rules: Incorporating them into other FDIC regulations contained in Title 12, Chapter III, amending them, or rescinding them, as appropriate.transfer-and-redesignation-of-certain-regulations-involving-state-savings-associations-pursuant-toFR-Doc-2011-18276
Post-Employment Restriction for Senior ExaminersRuleE9-2380710/05/2009FEDERAL HOUSING FINANCE AGENCYFederal Housing Finance AgencyThe Federal Housing Finance Agency (FHFA) is issuing a final regulation that sets forth a one-year post-employment restriction for senior examiners of FHFA pursuant to the Federal Housing Enterprises Financial Safety and Soundness … The Federal Housing Finance Agency (FHFA) is issuing a final regulation that sets forth a one-year post-employment restriction for senior examiners of FHFA pursuant to the Federal Housing Enterprises Financial Safety and Soundness Act of 1992, which provides that each examiner of FHFA shall be subject to the same disclosures, prohibitions, obligations, and penalties applicable to examiners employed by the Federal Reserve Banks.https://www.federalregister.gov/documents/2009/10/05/E9-23807/post-employment-restriction-for-senior-examinersFR-Doc-E9-23807
Post-Employment Restriction for Senior ExaminersProposed RuleE9-1362006/10/2009FEDERAL HOUSING FINANCE AGENCYFederal Housing Finance AgencyThe Federal Housing Finance Agency (FHFA) proposes to issue a regulation that cross-references the Supplemental Standards of Ethical Conduct for Employees of FHFA and that sets forth post-employment restrictions for senior examiners of … The Federal Housing Finance Agency (FHFA) proposes to issue a regulation that cross-references the Supplemental Standards of Ethical Conduct for Employees of FHFA and that sets forth post-employment restrictions for senior examiners of FHFA pursuant to 12 U.S.C. 4517(e).https://www.federalregister.gov/documents/2009/06/10/E9-13620/post-employment-restriction-for-senior-examinersFR-Doc-E9-13620
Supplemental Standards of Ethical Conduct for Employees of the Department of the TreasuryRuleE7-1671108/23/2007DEPARTMENT OF THE TREASURYTreasury DepartmentThe Department of the Treasury (Department), with the concurrence of the Office of Government Ethics (OGE), is amending the Supplemental Standards of Ethical Conduct for Employees of the Department of the Treasury (Treasury Supplementa … The Department of the Treasury (Department), with the concurrence of the Office of Government Ethics (OGE), is amending the Supplemental Standards of Ethical Conduct for Employees of the Department of the Treasury (Treasury Supplemental Ethics Regulations). The final rule revises the circumstances under which covered Office of Thrift Supervision (OTS) employees may obtain credit cards and loans secured by a principal residence from OTS-regulated savings associations or their subsidiaries. This amendment also modifies rules on disqualifications.https://www.federalregister.gov/documents/2007/08/23/E7-16711/supplemental-standards-of-ethical-conduct-for-employees-of-the-department-of-the-treasuryFR-Doc-E7-16711
Reporting Violations to the Office of the Inspector General and the Office of Professional Responsibility; Delegations of AuthorityRuleE6-1531509/15/2006DEPARTMENT OF JUSTICEJustice DepartmentThis final rule amends the regulations of the Department of Justice to codify the obligation to report misconduct to the Office of the Inspector General (OIG) and the Department of Justice Office of Professional Responsibility (O … This final rule amends the regulations of the Department of Justice to codify the obligation to report misconduct to the Office of the Inspector General (OIG) and the Department of Justice Office of Professional Responsibility (OPR), to reflect the conferral of statutory law enforcement authority on OIG special agents, to update the structure, functions, and responsibilities of OPR, and to reflect the current organizational structure of the OIG.https://www.federalregister.gov/documents/2006/09/15/E6-15315/reporting-violations-to-the-office-of-the-inspector-general-and-the-office-of-professionalFR-Doc-E6-15315
One-Year Post-Employment Restrictions for Senior ExaminersRule05-2281411/17/2005DEPARTMENT OF THE TREASURYTreasury DepartmentThe OCC, Board, FDIC and OTS (the Agencies) have jointly adopted final rules to implement section 6303(b) of the Intelligence Reform and Terrorism Prevention Act of 2004 (Intelligence Reform Act), which imposes post-employment res … The OCC, Board, FDIC and OTS (the Agencies) have jointly adopted final rules to implement section 6303(b) of the Intelligence Reform and Terrorism Prevention Act of 2004 (Intelligence Reform Act), which imposes post-employment restrictions on senior examiners of depository institutions and depository institution holding companies. Under section 6303(b), and the Agencies' final implementing rules, a senior examiner employed by an Agency or a Federal Reserve Bank (Reserve Bank) may not knowingly accept compensation as an employee, officer, director, or consultant from certain depository institutions or depository institution holding companies he or she examined, or from certain related entities, for one year after the examiner leaves the employment or service of the Agency or Reserve Bank. If an examiner violates the one-year restriction, the statute requires the appropriate Federal banking agency to seek an order of removal and prohibition, a civil money penalty of up to $250,000, or both. Section 10(k) will become effective on December 17, 2005.https://www.federalregister.gov/documents/2005/11/17/05-22814/one-year-post-employment-restrictions-for-senior-examinersFR-Doc-05-22814
Supplemental Financial Disclosure Requirements for Employees of the Department of Health and Human Services; CorrectionsRule05-2134310/26/2005DEPARTMENT OF HEALTH AND HUMAN SERVICESHealth and Human Services DepartmentThe Department of Health and Human Services published a final rule in the Federal Register on Wednesday, August 31, 2005 (70 FR 51559), establishing supplemental financial disclosure reporting requirements for certain employees o … The Department of Health and Human Services published a final rule in the Federal Register on Wednesday, August 31, 2005 (70 FR 51559), establishing supplemental financial disclosure reporting requirements for certain employees of the Food and Drug Administration (FDA) and the National Institutes of Health (NIH). That document contained language that incorrectly rendered the supplemental reporting requirements inapplicable to new entrant employees who file either a public or confidential financial disclosure report. This document corrects the final regulation by revising the appropriate sections.https://www.federalregister.gov/documents/2005/10/26/05-21343/supplemental-financial-disclosure-requirements-for-employees-of-the-department-of-health-and-humanFR-Doc-05-21343
Supplemental Standards of Ethical Conduct and Financial Disclosure Requirements for Employees of the Department of Health and Human ServicesRule05-1735208/31/2005DEPARTMENT OF HEALTH AND HUMAN SERVICESHealth and Human Services DepartmentThe Department of Health and Human Services, with the concurrence of the Office of Government Ethics (OGE), is amending the HHS regulation that supplements the OGE Standards of Ethical Conduct. This final rule adopts, with certain rev … The Department of Health and Human Services, with the concurrence of the Office of Government Ethics (OGE), is amending the HHS regulation that supplements the OGE Standards of Ethical Conduct. This final rule adopts, with certain revisions, the changes made to 5 CFR part 5501 in the interim final rule that was published on February 3, 2005, at 70 FR 5543. After considering comments to that rulemaking, this final rule: Clarifies the definition of an ``employee of a component;'' Amends the outside activity prior approval requirements applicable to employees of the Food and Drug Administration (FDA) and the National Institutes of Health (NIH); Revises prior approval information collection requirements and the waiver provision applicable to the outside activities prohibitions; Removes professional associations and other science and health-related organizations from the list of entities with which NIH employees are prohibited from engaging in outside activities; Adds exceptions to the NIH outside activities prohibition for delivering a class lecture as part of a regularly scheduled university course, serving on data and safety monitoring boards and grant and scientific review committees, and presenting in Grand Rounds; Limits the prohibition on holding financial interests in substantially affected organizations to senior NIH employees, their spouses, and minor children only, permits investments in such organizations that do not exceed $15,000, and allows holdings capped at $50,000 in sector mutual funds that concentrate their investments in the securities of substantially affected organizations; and Revises the outside award limitations for senior NIH employees by applying an official responsibility test for matters potentially involving an award donor. In addition, the financial disclosure reporting requirements specified in new part 5502 that were added by the interim final rule of February 3, 2005, at 70 FR 5543, and amended by an interim final rule that was published on June 28, 2005, at 70 FR 37009, are adopted as final, subject to certain amendments. The requirement to file a supplemental disclosure of financial interests in substantially affected organizations is refocused to apply to NIH employees who file a public or confidential financial disclosure report and other NIH employees who are designated as investigators in an NIH clinical research protocol approved by an institutional review board. The due date for the initial report is also changed.https://www.federalregister.gov/documents/2005/08/31/05-17352/supplemental-standards-of-ethical-conduct-and-financial-disclosure-requirements-for-employees-of-theFR-Doc-05-17352
One-Year Post-Employment Restrictions for Senior ExaminersProposed Rule05-1546808/05/2005DEPARTMENT OF THE TREASURYTreasury DepartmentThe OCC, Board, FDIC and OTS (the Agencies) propose to adopt rules to implement section 6303(b) of the Intelligence Reform and Terrorism Prevention Act of 2004 (Intelligence Reform Act), which added a new section 10(k) to the Federal D … The OCC, Board, FDIC and OTS (the Agencies) propose to adopt rules to implement section 6303(b) of the Intelligence Reform and Terrorism Prevention Act of 2004 (Intelligence Reform Act), which added a new section 10(k) to the Federal Deposit Insurance Act (FDI Act). Section 10(k) imposes post-employment restrictions on senior examiners of depository institutions and depository institution holding companies. Under section 10(k), a senior examiner employed or commissioned by an Agency may not knowingly accept compensation as an employee, officer, director, or consultant from certain depository institutions or depository institution holding companies he or she examined, or from certain related entities, for one year after the examiner leaves the employment or service of the Agency. If an examiner violates the one-year restriction, the statute requires the appropriate Federal banking agency to seek penalties. Accordingly, the examiner may be subject to an order of removal and prohibition or a civil money penalty of up to $250,000. The Agencies have the discretion to seek both types of remedy. Section 10(k) will become effective on December 17, 2005.https://www.federalregister.gov/documents/2005/08/05/05-15468/one-year-post-employment-restrictions-for-senior-examinersFR-Doc-05-15468
Supplemental Financial Disclosure Requirements for Employees of the Department of Health and Human ServicesRule05-1273306/28/2005DEPARTMENT OF HEALTH AND HUMAN SERVICESHealth and Human Services DepartmentThis interim final rule extends the due date for NIH employees to file a report of prohibited financial interests held on or acquired after February 3, 2005. The reports are now due no earlier than October 3, 2005.This interim final rule extends the due date for NIH employees to file a report of prohibited financial interests held on or acquired after February 3, 2005. The reports are now due no earlier than October 3, 2005.https://www.federalregister.gov/documents/2005/06/28/05-12733/supplemental-financial-disclosure-requirements-for-employees-of-the-department-of-health-and-humanFR-Doc-05-12733
Supplemental Standards of Ethical Conduct and Financial Disclosure Requirements for Employees of the Department of Health and Human ServicesRule05-202902/03/2005DEPARTMENT OF HEALTH AND HUMAN SERVICESHealth and Human Services DepartmentThe Department of Health and Human Services, with the concurrence of the Office of Government Ethics (OGE), is amending the HHS regulation that supplements the OGE Standards of Ethical Conduct. This interim final rule specifies additi … The Department of Health and Human Services, with the concurrence of the Office of Government Ethics (OGE), is amending the HHS regulation that supplements the OGE Standards of Ethical Conduct. This interim final rule specifies additional procedural and substantive requirements that are necessary to address ethical issues at the National Institutes of Health (NIH) and updates nomenclature, definitions, and procedures applicable to other components of the Department. The rule: Revises the definition of a significantly regulated organization for the Food and Drug Administration (FDA); Updates the organization titles of designated separate agencies; Amends the gift exception for native artwork and craft items received from Indian tribes or Alaska Native organizations; Aligns the FDA prohibited holdings limit with the de minimis holdings exemption in OGE regulations; Revises prior approval procedures for outside activities; and, subject to certain exceptions: Prohibits NIH employees from engaging in certain outside activities with supported research institutions, health care providers or insurers, health-related trade or professional associations, and biotechnology, pharmaceutical, medical device, and other companies substantially affected by the programs, policies, or operations of the NIH; Bars NIH employees who file a public or confidential financial disclosure report from holding financial interests in substantially affected organizations; Subjects NIH non-filer employees to a monetary cap on holdings in such organizations; Specifies for NIH employees prior approval procedures for and limitations on the receipt of certain awards from outside sources; and Imposes a one-year disqualification period during which NIH employees are precluded from official actions involving an award donor. In addition, the Department is adding a new supplemental part to expand financial disclosure reporting requirements for certain outside activities and to ensure that prohibited financial interests are identified.https://www.federalregister.gov/documents/2005/02/03/05-2029/supplemental-standards-of-ethical-conduct-and-financial-disclosure-requirements-for-employees-of-theFR-Doc-05-2029
Supplemental Standards of Ethical Conduct for Employees of the Equal Employment Opportunity CommissionRule03-2248309/04/2003EQUAL EMPLOYMENT OPPORTUNITY COMMISSIONEqual Employment Opportunity CommissionThe Equal Employment Opportunity Commission, with the concurrence of the Office of Government Ethics (OGE), amends the Supplemental Standards of Conduct for Employees of the Equal Employment Opportunity Commission by adding a sente … The Equal Employment Opportunity Commission, with the concurrence of the Office of Government Ethics (OGE), amends the Supplemental Standards of Conduct for Employees of the Equal Employment Opportunity Commission by adding a sentence permitting EEOC employees to represent other EEOC employees in administrative equal employment opportunity (EEO) proceedings unless there is a conflict of interest.https://www.federalregister.gov/documents/2003/09/04/03-22483/supplemental-standards-of-ethical-conduct-for-employees-of-the-equal-employment-opportunityFR-Doc-03-22483
Supplemental Standards of Ethical Conduct for Employees of the Department of AgricultureRule02-2348909/16/2002DEPARTMENT OF AGRICULTUREAgriculture DepartmentThe Department of Agriculture, with the concurrence of the Office of Government Ethics (OGE), amends the Supplemental Standards of Ethical Conduct for Employees of the Department of Agriculture (Supplement) to comply with section 5321 … The Department of Agriculture, with the concurrence of the Office of Government Ethics (OGE), amends the Supplemental Standards of Ethical Conduct for Employees of the Department of Agriculture (Supplement) to comply with section 5321 of the Farm Security and Rural Investment Act of 2002, Public Law 107-171, by removing a provision that is no longer effective.https://www.federalregister.gov/documents/2002/09/16/02-23489/supplemental-standards-of-ethical-conduct-for-employees-of-the-department-of-agricultureFR-Doc-02-23489
Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the CommissionRule02-293502/08/2002COMMODITY FUTURES TRADING COMMISSIONCommodity Futures Trading CommissionThe Commodity Futures Trading Commission is revising certain provisions of its regulations on the ethical conduct of employees relating to business and financial transactions and interests. This action relates solely to the Commiss … The Commodity Futures Trading Commission is revising certain provisions of its regulations on the ethical conduct of employees relating to business and financial transactions and interests. This action relates solely to the Commission's organization, procedure, and practice.https://www.federalregister.gov/documents/2002/02/08/02-2935/regulation-concerning-conduct-of-members-and-employees-and-former-members-and-employees-of-theFR-Doc-02-2935
Supplemental Standards of Ethical Conduct for Employees of the Department of TransportationRule01-2989012/03/2001DEPARTMENT OF TRANSPORTATIONTransportation DepartmentThe Department of Transportation, with the concurrence of the Office of Government Ethics (OGE), amends the Supplemental Standards of Ethical Conduct for Employees of the Department of Transportation (Transportation Ethics Regulations) … The Department of Transportation, with the concurrence of the Office of Government Ethics (OGE), amends the Supplemental Standards of Ethical Conduct for Employees of the Department of Transportation (Transportation Ethics Regulations). The amendment adds authority to waive the general prohibition against Federal Aviation Administration (FAA) employees holding stock or other securities interests in airlines, aircraft manufacturing companies or suppliers of components or parts to those entities. The exercise of this waiver authority will be conditioned in each case upon a determination that the waiver is not inconsistent with the standards of ethical conduct for employees of the Executive Branch and that application of the general FAA prohibition is not necessary to avoid the appearance of misuse of position or loss of impartiality.https://www.federalregister.gov/documents/2001/12/03/01-29890/supplemental-standards-of-ethical-conduct-for-employees-of-the-department-of-transportationFR-Doc-01-29890
Supplemental Standards of Ethical Conduct for Employees of the Department of the TreasuryRule01-273502/01/2001DEPARTMENT OF THE TREASURYTreasury DepartmentThe Department of the Treasury (Department), with the concurrence of the Office of Government Ethics (OGE), amends the Supplemental Standards of Ethical Conduct for Employees of the Department of the Treasury (Treasury Ethics Regulat … The Department of the Treasury (Department), with the concurrence of the Office of Government Ethics (OGE), amends the Supplemental Standards of Ethical Conduct for Employees of the Department of the Treasury (Treasury Ethics Regulations) to revise the circumstances under which certain Office of Thrift Supervision (OTS) employees may obtain credit cards from OTS-regulated savings associations or their subsidiaries, notwithstanding the general prohibition against ``covered employees'' obtaining loans or extensions of credit from these entities. The amendment also eliminates unnecessary provisions concerning retail store credit cards and mortgage assumptions.https://www.federalregister.gov/documents/2001/02/01/01-2735/supplemental-standards-of-ethical-conduct-for-employees-of-the-department-of-the-treasuryFR-Doc-01-2735
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