Regulatory Filing: Depository
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| Type: | 2320 |
|---|---|
| Description: | Quarterly Call Reports filed with the NIC |
| Filing Deadline: | 30 days after quarter-end |
| Relevant Legislation: | |
| Type: | 5300 |
| Description: | Credit Union Quarterly Call Reports filed with the NCUA |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | 5310 |
| Description: | Corporate Credit Union Quarterly Call Reports filed with the NCUA |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | Call RPT 031 |
| Description: | Quarterly Call Reports filed with the FDIC |
| Filing Deadline: | 33 days after quarter-end |
| Relevant Legislation: | |
| Type: | Call RPT 041 |
| Description: | Quarterly Call Reports filed with the FDIC |
| Filing Deadline: | 30 days after quarter-end |
| Relevant Legislation: | |
| Type: | FFIEC 002 |
| Description: | Report of Assets and Liabilities of U.S. Branches and Agencies of Foreign Banks |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | FFIEC 051 |
| Description: | Quarterly Filing required for community banks filing less than $1B in assets. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | FFIEC 101 |
| Description: | Quarterly Filing required for banks and BHCs filing greater than $100B in assets. |
| Filing Deadline: | 60 days after quarter-end |
| Relevant Legislation: | |
| Type: | FFIEC 102 |
| Description: | Market Risk Regulatory Report for institutions subject to the market risk capital rule, filed by banks and bank holding companies with assets >= $1B |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | FR Y-15 |
| Description: | Banking Organization Systemic Risk Report, filed by bank holding companies with assets >= $50B |
| Filing Deadline: | |
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| Type: | HB-11 |
| Description: | Annual regulatory filing at the OTS by thrift holding company: Contains a wide variety of information used to determine whether the holding companies are in compliance with the statutes, regulations and conditions governing savings and loan holding companies. Requires information on the organization, insiders, and ownership interest of the thrift holding company. Also includes information under the following categories, among others: subsidiaries; investment in savings associations or holding companies; investment in nonaffiliated thrifts; changes in securities; pending legal proceedings; financial statements; taxes; and other materially important events. |
| Filing Deadline: | Required to be filed within 90 days of the fiscal year end. Quarterly updates must be filed within 45 days of the end of each quarter (except the fourth quarter) during which there has been material change in information reported. If no changes, the cover page and signature page and statement clarifying no changes must be filed at quarter-end. |
| Relevant Legislation: | |
| Type: | HB-11/A |
| Description: | Amendment to annual regulatory filing at the OTS by thrift holding company: Contains a wide variety of information used to determine whether the holding companies are in compliance with the statutes, regulations and conditions governing savings and loan holding companies. Requires information on the organization, insiders, and ownership interest of the thrift holding company. Also includes information under the following categories, among others: subsidiaries; investment in savings associations or holding companies; investment in nonaffiliated thrifts; changes in securities; pending legal proceedings; financial statements; taxes; and other materially important events. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | Y-6 |
| Description: | Annual Report of Bank Holding Companies: Filed by all top-tier bank holding companies and consists of the requirement to submit SEC Form 10-K if the bank holding company is registered with the SEC or an annual report if one is created and sent to shareholders. Also requires the submission of an organizational chart and includes information on the identity, percentage ownership, and business interests of principal shareholders, directors, and executive officers. |
| Filing Deadline: | Must be filed within 90 days after the end of the company's fiscal year. |
| Relevant Legislation: | Annual reports have been collected in some form since the implementation of the Bank Holding Company Act of 1956. In 1976, the report was revised to eliminate certain information no longer required and to redefine the types of financial and structural information for regulatory purposes. In 1995, the report was revised to eliminate the requirement to submit consolidated and parent company financial statements (may still be requested on call), revise the audit requirements, move the nonbank subsidiary financial statements to the FR Y-11, eliminate the requirement to submit amendments to organizational documents, and eliminate the required list of insider loans. |
| Type: | Y-6/A |
| Description: | Amendment to Annual Report of Bank Holding Companies: Filed as any change is made or additional information is provided to an already filed Y-6. |
| Filing Deadline: | |
| Relevant Legislation: | |
| Type: | Y-9C |
| Description: | Quarterly Call Reports filed with the NIC |
| Filing Deadline: | 40-45 days after quarter-end |
| Relevant Legislation: | |
| Type: | Y-9LP |
| Description: | Quarterly Call Reports filed with the NIC |
| Filing Deadline: | 40-45 days after quarter-end |
| Relevant Legislation: | |
| Type: | Y-9SP |
| Description: | Semi-Annual Call Reports filed with the NIC |
| Filing Deadline: | 45 days after half end |
| Relevant Legislation: |