Download:
pdf |
pdfBoard of Governors of the Federal Reserve System
OMB Number: 7100-0032
Federal Deposit Insurance Corporation
Office of the Comptroller of the Currency
Expires June 30, 2012
1
Federal Financial Institutions Examination Council
Report of Assets and Liabilities of U.S. Branches and Agencies
of Foreign Banks—FFIEC 002
(20100630)
Report at the close of business June 30, 2010
(RCON 9999)
This report is required by law 12 U.S.C. §3105(c)(2); 12 U.S.C.
§1817(a); and 12 U.S.C. §3102(b).
Please read carefully “Instructions for Preparation of the Report of
Assets and Liabilities of U.S. Branches and Agencies of Foreign
Banks”
Please indicate legal status:
Branch
Agency
Indicate FDIC insurance status:
Insured
Uninsured
Indicate the number of branches or agencies included in this
report:
(RCON 9395)
Legal Title(s) and Address(es) of Branch(es) or Agency(ies) included in this report:
Legal Title
Legal Title
Street Address
Street Address
City
County
City
County
State
Zip Code
State
Zip Code
Legal Title
Legal Title of Foreign Bank Parent
Street Address
City
City
County
State
Zip Code
County
NOTE: This report must be signed by the Chief Financial Officer
(CFO) (or by the individual performing an equivalent function) and
attested by the senior executive officer.
I,
I, the undersigned CFO (or equivalent) of the branch or agency
specified do hereby declare that this Report of Assets and
Liabilities (including the supporting schedules and supplement) has been prepared in conformance with the instructions issued by the Federal Financial Institutions Examination
Council and is true to the best of my knowledge and belief.
attest the correctness of this Report of Assets and Liabilities
(including the supporting schedules and supplement) and declare
that it has been examined by us, and to the best of our knowledge
and belief, has been prepared in conformance with the instructions
issued by the Federal Financial Institutions Examination Council
and is true and correct.
Signature of Chief Financial Officer (or Equivalent)
Signature of Senior Executive Officer
Public reporting burden associated with the FFIEC 002 is estimated to average 25.02
hours per response including time to gather and maintain data in the required form and
to review instructions and complete the information collection. A Federal agency may
not conduct or sponsor, and an organization (or a person) is not required to respond
to a collection of information, unless it displays a currently valid OMB control number.
Comments regarding this burden estimate or any other aspect of this information
collection, including suggestions for reducing the burden, may be sent to Secretary,
Board of Governors of the Federal Reserve System, Washington, D.C. 20551 and
to Office of Information and Regulatory Affairs, Office of Management and Budget,
Washington, D.C. 20503.
Name of Senior Executive Officer
Title of Senior Executive Officer
Return original and 2 copies to the Federal Reserve Bank in whose district the branch or agency is located.
FDIC-insured branches should file one copy with the appropriate FDIC Regional Office (Supervision).
FFIEC 002
2
Contact Information
To facilitate communication between the Agencies and the branch or agency concerning the FFIEC 002, please provide contact information
for (1) the Chief Financial Officer (or equivalent) of the branch or agency signing the reports for this quarter and (2) the person at the branch or
agency—other than the Chief Financial Officer (or equivalent) — to whom questions about the reports should be directed. If the Chief Financial
Officer (or equivalent) is the primary contact for questions about the reports, please provide contact information for another person at the branch
or agency who will serve as a secondary contact for communications between the Agencies and the branch or agency concerning the FFIEC
002. Enter “none” for the contact’s e-mail address or fax number if not available. Contact information for the FFIEC 002 is for the confidential
use of the Agencies and will not be released to the public.
Chief Financial Officer (or Equivalent) Signing the Reports
Other Person to Whom Questions about the Reports
Should be Directed
Name (TEXT C490)
Name (TEXT C495)
Title (TEXT C491)
Title (TEXT C496)
E-mail Address (TEXT C492)
E-mail Address (TEXT 4086)
Telephone: Area code/phone number/extension (TEXT C493)
Telephone: Area code/phone number/extension (TEXT 8902)
FAX: Area code/phone number (TEXT C494)
FAX: Area code/phone number (TEXT 9116)
Emergency Contact Information
This information is being requested so the Agencies can distribute critical, time sensitive information to emergency contacts at U.S. branches or
agencies. Please provide primary contact information for a senior official of the branch or agency who has decision-making authority. Also provide
information for a secondary contact if available. Enter “none” for the contact’s e-mail address or fax number if not available. Emergency contact information is for the confidential use of the Agencies and will not be released to the public.
Primary Contact
Secondary Contact
Name (TEXT C366)
Name (TEXT C371)
Title (TEXT C367)
Title (TEXT C372)
E-mail Address (TEXT C368)
E-mail Address (TEXT C373)
Telephone: Area code/phone number/extension (TEXT C369)
Telephone: Area code/phone number/extension (TEXT C374)
FAX: Area code/phone number (TEXT C370)
FAX: Area code/phone number (TEXT C375)
FFIEC 002
USA PATRIOT Act Section 314(a) Anti-Money Laundering Contact Information
3
This information is being requested to identify points-of-contact who are in charge of your branch's or agency's USA PATRIOT Act Section 314(a)
information requests. Branch or agency personnel listed could be contacted by law enforcement officers or the Financial Crimes Enforcement Network
(FinCEN) for additional information related to specific Section 314(a) search requests or other anti-terrorist financing and anti-money laundering matters.
Communications sent by FinCEN to the branch or agency for purposes other than Section 314(a) notifications will state the intended purpose and should
be directed to the appropriate branch or agency personnel for review. Any disclosure of customer records to law enforcement officers or FinCEN must
be done in compliance with applicable law, including the Right to Financial Privacy Act (12 U.S.C. 3401 et seq.).
Please provide information for a primary and secondary contact. Information for a third and fourth contact may be provided at the branch's or agency's
option. Enter "none" for the contact's e-mail address if not available. This contact information is for the confidential use of the Agencies, FinCEN, and law
enforcement officers and will not be released to the public.
Primary Contact
Secondary Contact
Name (TEXT C437)
Name (TEXT C442)
Title (TEXT C438)
Title (TEXT C443)
E-mail Address (TEXT C439)
E-mail Address (TEXT C444)
Telephone: Area code/phone number/extension (TEXT C440)
Telephone: Area code/phone number/extension (TEXT C445)
Third Contact
Fourth Contact
Name (TEXT C870)
Name (TEXT C875)
Title (TEXT C871)
Title (TEXT C876)
E-mail Address (TEXT C872)
E-mail Address (TEXT C877)
Telephone: Area code/phone number/extension (TEXT C873)
Telephone: Area code/phone number/extension (TEXT C878)
FFIEC 002
4
Schedule RAL—Assets and Liabilities
All schedules are to be reported in thousands of U.S. dollars. Unless otherwise indicated, report the amount outstanding as of the
last calendar day of the quarter.
(Column A)
Total Reporting
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands
RCFD
Bil
Mil
Thou RCFN
(Column B)
IBF Only
Bil
Mil
Thou
ASSETS
1. Claims on Nonrelated Parties:
(Excludes all claims on related depository institutions but includes claims
on related nondepository institutions. See instructions for coverage and
treatment of ‘‘nonrelated’’ and ‘‘related’’ institutions.)
a. Cash and balances due from depository institutions (from Schedule A,
0010
0010
item 6) ....................................................................................................
1.a.
b. U.S. Government securities:
0260
(1) U.S. Treasury securities.....................................................................
1.b.(1)
0371
(2) U.S. Government agency obligations................................................
1.b.(2)
c. Other bonds, notes, debentures, and corporate stock (including state
and local securities):
A003
(1) Securities of foreign governments and official institutions................. A003
1.c.(1)
C035
C035
(2) Mortgage-backed securities:
C416
(a) Issued or guaranteed by U.S. Government agencies................. C416
1.c.(2)(a)
C417
C417
(b) Other............................................................................................
1.c.(2)(b)
C036
(3) Other asset-backed securities........................................................... C036
1.c.(3)
C037
(4) All other.............................................................................................. C037
1.c.(4)
d. Federal funds sold and securities purchased under agreements to
resell:
(1) Federal Funds sold:
C412
(a) With commercial banks in the U.S........................................... C412
1.d.(1)(a)
F856
F856
(b) With nonbank brokers and dealers in securities....................
1.d.(1)(b)
C413
(c) With others................................................................................. C413
1.d.(1)(c)
(2) Securities purchased under agreements to resell:
C414
(a) With commercial banks in the U.S........................................... C414
1.d.(2)(a)
F857
F857
(b) With nonbank brokers and dealers in securities....................
1.d.(2)(b)
C415
(c) With others................................................................................. C415
1.d.(2)(c)
2122
2122
e. Loans and leases, net of unearned income (from Schedule C, item 11)..
1.e.
f. Trading assets:
C418
(1) U.S. Treasury and Agency securities................................................. C418
1.f.(1)
C419
C419
(2) Other trading assets..........................................................................
1.f.(2)
g. Not applicable
2151
2151
h. Other assets including other claims on nonrelated parties......................
1.h.
2171
2171
i. Total claims on nonrelated parties (sum of items 1.a through 1.h)...........
1.i.
2. Net due from related depository institutions:
a. For the reporting branch or agency including its IBF: Net due from
head office and other related depository institutions (item 4.g minus
item 1.i of Column A if item 4.g is greater than item 1.i; otherwise
2154
enter -0-)...................................................................................................
2.a.
b. For the IBF of the reporting branch or agency: Net due from
establishing entity, head office and other related depository
institutions (item 4.g minus item 1.i of Column B if item 4.g is greater
2154
than item 1.i; otherwise enter -0-)............................................................
2.b.
FFIEC 002
5
Schedule RAL—Continued
(Column B)
IBF Only
(Column A)
Total Reporting
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands
RCFD
Bil
Mil
Thou RCFN
Bil
Mil
Thou
ASSETS—Continued
3. Total assets (for Column A, sum of items 1.i and 2.a; for Column B,
2170
2170
sum of items 1.i and 2.b)................................................................................
3.
LIABILITIES
4. Liabilities to nonrelated parties:
(Excludes all liabilities to related depository institutions but includes all
liabilities to related nondepository institutions. See instructions for
coverage and treatment of “nonrelated” and “related” institutions.)
2205
2205
a. Total deposits and credit balances (from Schedule E, item 7).................
4.
b. Federal funds purchased and securities sold under agreements to
repurchase:
(1) Federal Funds purchased:
C420
(a) With commercial banks in the U.S........................................... C420
4.b.(1)(a)
C421
(b) With others................................................................................. C421
4.b.(1)(b)
(2) Securities sold under agreements to repurchase:
C422
(a) With commercial banks in the U.S........................................... C422
4.b.(2)(a)
C423
(b) With others................................................................................. C423
4.b.(2)(b)
3190
3190
c. Other borrowed money (from Schedule P, item 4)...................................
4.c.
d. Not applicable
3548
3548
e. Trading liabilities.......................................................................................
4.e.
2916
2916
f. Other liabilities to nonrelated parties........................................................
4.f.
2927
2927
g. Total liabilities to nonrelated parties (sum of items 4.a through 4.f).........
4.g.
5. Net due to related depository institutions:
a. For the reporting branch or agency including its IBF: Net due to head
office and other related depository institutions (item 1.i minus item 4.g
2944
of Column A if item 1.i is greater than item 4.g; otherwise enter -0-).......
5.a.
b. For the IBF of the reporting branch or agency: Net due to establishing
entity, head office and other related depository institutions (item 1.i
minus item 4.g of Column B if item 1.i is greater than item 4.g;
2944
otherwise enter -0-)..................................................................................
5.b.
6. Total liabilities (for Column A, sum of items 4.g and 5.a; for Column B,
2950
2950
sum of items 4.g and 5.b)...............................................................................
6.
Memoranda
1. Fair value of held-to-maturity securities........................................................ 1771
2. Amortized cost of held-to-maturity securities................................................ 1754
3. Fair value of available-for-sale securities...................................................... 1773
4. Amortized cost of available-for-sale securities.............................................. 1772
1771
1754
1773
1772
M.1.
M.2.
M.3.
M.4.
FFIEC 002
6
Schedule RAL—Continued
(Column B)
IBF Only
(Column A)
Total Reporting
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands
RCFD
Bil
Mil
Thou RCFN
Bil
Mil
Thou
Memoranda—Continued
5. Loans held for trading (included in Schedule RAL, item 1.f.(2)):
a. Loans secured by real estate:
(1) Construction, land development, and other land loans............... F604
(2) Secured by farmland (including farm residential and other
improvements)................................................................................. F605
(3) Secured by 1–4 family residential properties:
(a) Revolving, open-end loans secured by 1–4 family
residential properties and extended under lines of credit.... F606
(b) Closed-end loans secured by 1–4 family residential
properties................................................................................... G006
(4) Secured by multifamily (5 or more) residential properties.......... F612
(5) Secured by nonfarm nonresidential properties............................ F613
b. Commercial and industrial loans.......................................................... F614
c. Other loans............................................................................................. G007
6. Unpaid principal balance of loans held for trading (reported in
Schedule RAL, Memorandum item 5):
a. Loans secured by real estate:
(1) Construction, land development, and other land loans............... F625
(2) Secured by farmland (including farm residential and other
improvements)................................................................................. F626
(3) Secured by 1–4 family residential properties:
(a) Revolving, open-end loans secured by 1–4 family
residential properties and extended under lines of credit.... F627
(b) Closed-end loans secured by 1–4 family residential
properties................................................................................... G008
(4) Secured by multifamily (5 or more) residential properties.......... F630
(5) Secured by nonfarm nonresidential properties............................ F631
b. Commercial and industrial loans.......................................................... F632
c. Other loans............................................................................................. G009
7. Fair value of structured notes....................................................................... 8783
8. Amortized cost of structured notes............................................................... 8782
9. Assets under the reporting branch or agency's management in
proprietary mutual funds and annuities......................................................... B570
10. Derivatives with a positive fair value held for trading purposes.................... 3543
11. Derivatives with a negative fair value held for trading purposes.................... 3547
12. Not applicable.
13. Pledged U.S. government securities1 .......................................................... 2785
1. Includes held-to-maturity securities at amortized cost and available-for-sale securities at fair value.
F604
M.5.a.(1)
F605
M.5.a.(2)
F606
M.5.a.(3)(a)
G006
F612
F613
F614
G007
M.5.a.(3)(b)
M.5.a.(4)
M.5.a.(5)
M.5.b.
M.5.c.
F625
M.6.a.(1)
F626
M.6.a.(2)
F627
M.6.a.(3)(a)
G008
F630
F631
F632
G009
8783
8782
M.6.a.(3)(b)
M.6.a.(4)
M.6.a.(5)
M.6.b.
M.6.c.
M.7.
M.8.
B570
3543
3547
M.9.
M.10.
M.11.
2785
M.13.
FFIEC 002
7
Schedule RAL—Continued
Memoranda—Continued
Total Reporting
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands
14. If other assets including other claims on nonrelated parties (item 1.h)
exceed 5 percent of total assets (item 3), itemize and describe amounts
that exceed 25 percent of item 1.h.
TEXT
a. A539
TEXT
b. A540
TEXT
c. A541
15. If other liabilities to nonrelated parties (item 4.f) exceed 5 percent
of total liabilities (item 6), itemize and describe amounts that exceed
25 percent of item 4.f.
TEXT
a. A542
TEXT
b. A543
TEXT
c. A544
RCFD
Bil
Mil
Thou
A539
A540
A541
M.14.a.
M.14.b.
M.14.c.
A542
A543
A544
M.15.a.
M.15.b.
M.15.c.
RCFD
16. Number of full-time equivalent employees of the branch or agency at
end of current period (round to nearest whole number)................................ 4150
Number
M.16.
To be reported only with the March Report
17. Indicate in the box at the right the number of the statement below that best describes the most
RCFD
comprehensive level of auditing work performed for the branch or agency by, or on behalf of,
the parent organization during the preceding year....................................................................................... 6724
1 = Independent annual audit of the branch or agency conducted
in accordance with U.S. generally accepted auditing standards
by a certified public accounting firm
2 = Independent annual audit of the branch or agency conducted
in accordance with home country auditing standards by an
independent accounting firm
3 = Review of the financial statements of the branch or agency
by external auditors, as part of the audit of the parent
organization
Number
M.17.
4 = Review of the financial statements of the branch or agency by
internal auditors
5 = Compilation of the financial statements of the branch or agency
by external auditors
6 = Other audit procedures
7 = No audit or independent review
Total Reporting
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands
RCFD
STATUTORY OR REGULATORY REQUIREMENT
as appropriate for the reporting institution (see instructions)
1. Asset maintenance requirement................................................................... 3343
2. Asset pledge requirement/Capital equivalency deposit................................ 3349
3. FDIC asset maintenance requirement (for FDIC insured branches only):
a. Average liabilities for the preceding calendar quarter.............................. 2334
b. Eligible assets as of the report date......................................................... 2387
Bil
Mil
Thou
S.1.
S.2.
S.3.a.
S.3.b.
FFIEC 002
8
Schedule A—Cash and Balances Due from Depository Institutions
NOTE: Exclude all transactions with related depository institutions.
(Column A)
Total Reporting
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands
RCFD
Bil
Mil
Thou RCFN
(Column B)
IBF Only
Bil
Mil
Thou
0020
0020
1. Cash items in process of collection and unposted debits.............................
1.
0080
2. Currency and coin (U.S. and foreign)........................................................... 2.
3. Balances due from depository institutions in the U.S.:
a. U.S. branches and agencies of other foreign banks (including their
0083
0083
IBFs).........................................................................................................
3.a.
0085
0085
b. Other depository institutions in the U.S. (including their IBFs).................
3.b.
4. Balances due from banks in foreign countries and foreign central banks:
0073
0073
a. Foreign branches of U.S. banks...............................................................
4.a.
2431
2431
b. Banks in home country and home country central bank .........................
4.b.
3149
3149
c. All other banks in foreign countries and foreign central banks . ..............
4.c.
0090
5. Balances due from Federal Reserve Banks.................................................
5.
RCXX
RCXY
0010
0010
6. Total (sum of items 1 through 5) (must equal Schedule RAL, item 1.a)........
6.
FFIEC 002
9
Schedule C—Loans
Part I. Loans and Leases
Net of unearned income.
NOTE: Exclude all transactions with related depository institutions.
Dollar Amounts in Thousands
(Column A)
Total Reporting
Branch or Agency
Including Its IBF
RCFD
Bil
Mil
Thou RCFN
(Column B)
IBF Only
Bil
Mil
Thou
1. Loans secured by real estate:
1415
1415
a. Construction, land development, and other land loans.....................
1.a.
b. Secured by farmland (including farm residential and other
1420
1420
improvements)........................................................................................
1.b.
c. Secured by 1–4 family residential properties:
(1) Revolving, open-end loans secured by 1–4 family residential
1797
1797
properties and extended under lines of credit..............................
1.c.(1)
1798
1798
(2) Closed-end loans secured by 1–4 family residential properties.
1.c.(2)
1460
1460
d. Secured by multifamily (5 or more) residential properties................
1.d.
1480
1480
e. Secured by nonfarm nonresidential properties..................................
1.e.
2. Loans to depository institutions and acceptances of other banks:
a. To commercial banks in the U.S. (including their IBFs):
B532
B532
(1) To U.S. branches and agencies of other foreign banks.....................
2.a.(1)
B533
B533
(2) To other commercial banks in the U.S...............................................
2.a.(2)
B534
B534
b. To other depository institutions in the U.S. (including their IBFs).............
2.b.
c. To banks in foreign countries:
B536
B536
(1) To foreign branches of U.S. banks.....................................................
2.c.(1)
B537
B537
(2) To other banks in foreign countries....................................................
2.c.(2)
1520
1520
3. Loans to other financial institutions...............................................................
3.
4. Commercial and industrial loans:
1763
a. To U.S. addressees (domicile)................................................................. 1763
4.a.
1764
1764
b. To non-U.S. addressees (domicile)..........................................................
4.b.
5. Not applicable.
6. Loans to foreign governments and official institutions (including foreign
2081
2081
central banks)...............................................................................................
6.
1545
1545
7. Loans for purchasing or carrying securities (secured and unsecured).........
7.
8. All other loans (include state and local obligations other than securities
1885
1885
and loans to individuals)...............................................................................
8.
9. Lease financing receivables (net of unearned income):
2182
2182
a. Of U.S. addressees (domicile).................................................................
9.a.
2183
2183
b. Of non-U.S. addressees (domicile)..........................................................
9.b.
2123
10. Less: Any unearned income on loans reflected in items 1–8 above............. 2123
10.
RCXX
RCXY
11. Total loans and leases, net of unearned income (sum of items 1 through
2122
9 minus item 10) (must equal Schedule RAL, item 1.e)................................ 2122
11.
Memoranda
1.–2. Not applicable.
3. Commercial and industrial loans with remaining maturity of one year or
RCFD
less (excluding those in nonaccrual status):
a. With predetermined interest rates............................................................ 6119
b. With floating interest rates........................................................................ 6120
4. Commercial and industrial loans with remaining maturity of more than
one year (excluding those in nonaccrual status):
a. With predetermined interest rates............................................................ 6122
b. With floating interest rates........................................................................ 6123
M.3.a.
M.3.b.
M.4.a.
M.4.b.
FFIEC 002
10
Schedule C—Continued
Part I. Loans and Leases—Continued
Memorandum items 5 and 6 are to be completed by branches and
agencies that have elected to measure loans included in Schedule C,
part I, items 1 through 8, at fair value under a fair value option.
Memoranda—Continued
Dollar Amounts in Thousands
(Column B)
IBF Only
(Column A)
Total Reporting
Branch or Agency
Including Its IBF
RCFD
5. Loans measured at fair value (included in Schedule C, part I, items 1
through 8):
a. Loans secured by real estate:
(1) Construction, land development, and other land loans............... F578
(2) Secured by farmland (including farm residential and other
improvements)................................................................................. F579
(3) Secured by 1–4 family residential properties:
(a) Revolving, open-end loans secured by 1–4 family
residential properties and extended under lines of credit.... F580
(b) Closed-end loans secured by 1–4 family residential
properties................................................................................... G010
(4) Secured by multifamily (5 or more) residential properties.......... F583
(5) Secured by nonfarm nonresidential properties............................ F584
b. Commercial and industrial loans.......................................................... F585
c. Other loans............................................................................................. G011
6. Unpaid principal balance of loans measured at fair value (reported in
Schedule C, part I, Memornadum item 5):
a. Loans secured by real estate:
(1) Construction, land development and other land loans................ F590
(2) Secured by farmland (including farm residential and other
improvements)................................................................................. F591
(3) Secured by 1–4 family residential properties:
(a) Revolving, open-end loans secured by 1–4 family
residential properties and extended under lines of credit.... F592
(b) Closed-end loans secured by 1–4 family residential
properties................................................................................... G012
(4) Secured by multifamily (5 or more) residential properties.......... F595
(5) Secured by nonfarm nonresidential properties............................ F596
b. Commercial and industrial loans.......................................................... F597
c. Other loans............................................................................................. G013
Bil
Mil
Thou RCFN
Bil
Mil
Thou
F578
M.5.a.(1)
F579
M.5.a.(2)
F580
M.5.a.(3)(a)
G010
F583
F584
F585
G011
M.5.a.(3)(b)
M.5.a.(4)
M.5.a.(5)
M.5.b.
M.5.c.
F590
M.6.a.(1)
F591
M.6.a.(2)
F592
M.6.a.(3)(a)
G012
F595
F596
F597
G013
M.6.a.(3)(b)
M.6.a.(4)
M.6.a.(5)
M.6.b.
M.6.c.
FFIEC 002
11
Schedule C—Continued
Part II. Loans to Small Businesses and Small Farms
Part II of Schedule C is to be completed annually as of the June 30 report date only by branches whose deposits are
insured by the FDIC.
Report the number and amount currently outstanding as of June 30 of business loans with “original amounts” of $1,000,000 or
less and farm loans with “original amounts” of $500,000 or less. The following guidelines should be used to determine the “original amount” of a loan: (1) For loans drawn down under lines of credit or loan commitments, the “original amount” of the loan
is the size of the line of credit or loan commitment when the line of credit or loan commitment was most recently approved,
extended, or renewed prior to the report date. However, if the amount currently outstanding as of the report date exceeds this
size, the “original amount” is the amount currently outstanding on the report date. (2) For loan participations and syndications,
the “original amount” of the loan participation or syndication is the entire amount of the credit originated by the lead lender. (3)
For all other loans, the “original amount” is the total amount of the loan at origination or the amount currently outstanding as of
the report date, whichever is larger.
Loans to Small Businesses
1. a. Indicate in the appropriate box at the right whether all or substantially all of the dollar volume of
your branch's “Commercial and industrial loans to U.S. addressees” (excluding those held in
its IBF) reported in Schedule C, part I, item 4.a, column A, consist of loans with original
No
amounts of $100,000 or less. (If your branch has no loans outstanding in this loan category, RCON Yes
6863
place an “X” in the box marked “NO.”)........................................................................................... 1.a.
If YES, complete items 1.b and 2, skip item 3, and complete items 4 and 5.
If NO and your branch has loans outstanding in this loan category, skip item 1.b and complete
items 2 through 5 below.
If NO and your branch has no loans outstanding in this loan category, skip item 1.b, complete
item 2, skip item 3, and complete items 4 and 5.
b. Number of “Commercial and industrial loans to U.S. addressees” (excluding those held in the
RCON
Number of Loans
branch's IBF) reported in Schedule C, part I, item 4.a. column A. (Note: Item 4.a, column A,
5563
divided by the number of loans should NOT exceed $100,000.)...................................................
1.b.
(Column A)
Number of Loans
Dollar Amounts in Thousands
RCON
(Column B)
Amount
Currently
Outstanding
RCON
Bil
Mil
Thou
2. Number and amount currently outstanding of “Loans secured by
nonfarm nonresidential properties” (excluding those held in the branch's
IBF) reported in Schedule C, part I, item 1, column A, “Loans secured by
real estate” (sum of items 2.a through 2.c must be less than or equal to
Schedule C, part I, item 1, column A minus column B):
5564
5565
a. With original amounts of $100,000 or less............................................
2.a.
5566
5567
b. With original amounts of more than $100,000 through $250,000..........
2.b.
5568
5569
c. With original amounts of more than $250,000 through $1,000,000.......
2.c.
3. Number and amount currently outstanding of “Commercial and industrial
loans to U.S. addressees” (excluding those held in the branch's IBF)
reported in Schedule C, part I, item 4.a, column A (sum of items 3.a
through 3.c must be less than or equal to Schedule C, part I, item 4.a,
column A minus column B):
5570
5571
a. With original amounts of $100,000 or less............................................
3.a.
5572
5573
b. With original amounts of more than $100,000 through $250,000..........
3.b.
5574
5575
c. With original amounts of more than $250,000 through $1,000,000.......
3.c.
FFIEC 002
12
Schedule C—Continued
Part II—Continued
Agricultural Loans to Small Farms
(Column A)
Number of Loans
Dollar Amounts in Thousands
RCON
(Column B)
Amount
Currently
Outstanding
RCON
Bil
Mil
Thou
4. Number and amount currently outstanding of “Loans secured by
farmland (including farm residential and other improvements)” (excluding
those held in the branch's IBF) reported in Schedule C, part I, item 1,
column A, “Loans secured by real estate” (sum of items 4.a through 4.c
must be less than or equal to Schedule C, part I, item 1, column A minus
column B):
5578
5579
a. With original amounts of $100,000 or less...........................................
4.a.
5580
5581
b. With original amounts of more than $100,000 through $250,000.........
4.b.
5582
5583
c. With original amounts of more than $250,000 through $500,000.........
4.c.
5. Number and amount currently outstanding of “Loans to finance
agricultural production and other loans to farmers” (excluding those held in
the branch's IBF) reported in Schedule C, part I, item 8, column A, “All other
loans” (sum of items 5.a through 5.c must be less than or equal to
Schedule C, part I, item 8, column A minus column B):
5584
5585
a. With original amounts of $100,000 or less...........................................
5.a.
5586
5587
b. With original amounts of more than $100,000 through $250,000.........
5.b.
5588
5589
c. With original amounts of more than $250,000 through $500,000.........
5.c.
FFIEC 002
13
Schedule E—Deposit Liabilities and Credit Balances
NOTE: Exclude all transactions with related depository institutions.
Total Deposit Liabilities and Credit Balances, Excluding IBF
Nontransactions Accts.
Transaction Accounts
(Column A)
Total transaction
accounts and
credit balances
(excluding IBF)
Dollar Amounts in Thousands
RCON
Bil
Mil
(Column B)
Memo: Total demand
deposits (included in
Column A)
Thou RCON
Bil
Mil
(Column C)
Total nontransaction
accounts
(including MMDAs)
(excluding IBF)
Thou RCON
Bil
Mil
(Column D)
IBF deposit liabilities*
Thou RCFN
Bil
Mil
Thou
1. Individuals, partnerships,
and corporations (include
all certified and official
checks):
a. U.S. addressees
C040
C041
C042
(domicile).....................
1.a.
b. Non-U.S. addressees
C043
C044
C045
(domicile).....................
1.b.
2. Commercial banks in the
U.S. (including their IBFs):
a. U.S. branches and
agencies of other
1643
2347
1668
foreign banks...............
2.a.
b. Other commercial
1645
2348
1669
banks in the U.S..........
2.b.
3. Banks in foreign countries:
a. Foreign branches of
1646
2367
1671
U.S. banks...................
3.a.
b. Other banks in foreign
1647
2373
1672
countries......................
3.b.
4. Foreign governments and
official institutions (includ 1649
2377
2650
ing foreign central banks).
4.
5. All other deposits and
1650
2259
2261
credit balances.................
5.
6. Not applicable.
7. Total deposits and credit
balances (sum of
Columns A, C, and D
must equal Schedule
RAL, item 4.a, Column A.
Column D must equal
RCXY
Schedule RAL, item 4.a,
1653
2210
2385
2205
Column B)........................
7.
* Amounts in this column should exclude those IBF liabilities to be reported as “Federal funds purchased and securities sold under agreements to
repurchase” or as “Other borrowed money.”
Memoranda
Total Reporting
Branch or Agency
Excluding Its IBF
Dollar Amounts in Thousands
RCON
1. Components of total nontransaction accounts (included in item 7, Column C):
a. Time deposits of $100,000 or more................................................................................................. 2604
b. Individual Retirement Accounts (IRAs) and Keogh Plan accounts included in
Memorandum item 1.a, “Time deposits of $100,000 or more,” above..................................... F233
c. Time certificates of deposit of $100,000 or more with remaining maturity of more than
12 months....................................................................................................................................... 6643
Bil
Mil
Thou
M.1.a.
M.1.b.
M.1.c.
FFIEC 002
Schedule K—Quarterly Averages
14
1
NOTE: Exclude all transactions with related depository institutions.
Total Reporting
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands
RCFD
Bil
Mil
Thou
ASSETS
1. Interest-bearing balances due from depository institutions (corresponds to part of Schedule RAL,
3381
item 1.a, Column A)............................................................................................................................
1.
2. Federal funds sold and securities purchased under agreements to resell (corresponds to
3365
Schedule RAL, item 1.d, Column A)...................................................................................................
2.
3360
3. Total loans, net of unearned income (corresponds to Schedule RAL, item 1.e, Column A)...............
3.
4. Loans to and acceptances of banks in foreign countries (corresponds to Schedule C, item 2.c,
3105
Column A)...........................................................................................................................................
4.
3106
5. Total claims on nonrelated parties (corresponds to Schedule RAL, item 1.i, Column A)....................
5.
LIABILITIES
6. Time certificates of deposit of $100,000 or more (corresponds to part of Schedule E,
3345
Memorandum item 1.a).......................................................................................................................
6.
7. Interest-bearing deposits and credit balances (corresponds to part of Schedule RAL, item 4.a,
3107
Column A)...........................................................................................................................................
7.
8. Federal funds purchased and securities sold under agreements to repurchase (corresponds to
3353
Schedule RAL, item 4.b, Column A)...................................................................................................
8.
3355
9. Other borrowed money (corresponds to Schedule RAL, item 4.c, Column A)....................................
9.
1. For all items, branches and agencies have the option of reporting either (1) an average of daily figures for the quarter or (2) an average of
weekly figures (i.e., the Wednesday of each week of the quarter).
FFIEC 002
15
Schedule L—Derivatives and Off-Balance-Sheet Items
NOTE: Exclude all transactions with related depository institutions.
Dollar Amounts in Thousands
Total Reporting
Branch or Agency
Including Its IBF
RCFD
Bil
Mil
Thou
3423
1. Commitments to make or purchase loans..........................................................................................
1.
8765
2. Spot foreign exchange contracts........................................................................................................
2.
3. Standby letters of credit:
3375
a. Total................................................................................................................................................
3.a.
3376
(1) To U.S. addressees (domicile).................................................................................................
3.a.(1)
3377
(2) To non-U.S. addressees (domicile)..........................................................................................
3.a.(2)
3378
b. Amount of total standby letters of credit in item 3.a conveyed to others through participations....
3.b.
3411
4. Commercial and similar letters of credit..............................................................................................
4.
5. Not applicable.
(Column A)
(Column B)
Guarantor
Beneficiary
6. Credit derivatives:
RCFD Bil
Mil Thou RCFD Bil
Mil Thou
a. Notional amounts:
C968
C969
(1) Credit default swaps.........................................................................
6.a.(1)
C970
C971
(2) Total return swaps............................................................................
6.a.(2)
C972
C973
(3) Credit options....................................................................................
6.a.(3)
C974
C975
(4) Other credit derivatives....................................................................
6.a.(4)
b. Gross fair values:
C219
C221
(1) Gross positive fair value..................................................................
6.b.(1)
C220
C222
(2) Gross negative fair value................................................................
6.b.(2)
Total Reporting
Branch or Agency
Including Its IBF
Mil Thou
7. All other off-balance-sheet contingent liabilities greater than or equal to 1/2 percent of total claims RCFD Bil
5602
on nonrelated parties as reported on Schedule RAL, item 1.i ........................................................... 7.
List below each component of this item greater than or equal to 1 percent of total claims on
nonrelated parties as reported on Schedule RAL, item 1.i:
RCFD
Bil
Mil
Thou
TEXT
5598
TEXT
5600
TEXT
5601
5598
a.
7.a.
5600
b.
7.b.
5601
c.
7.c.
8. All other off-balance-sheet contingent claims (assets) greater than or equal to 1/2 percent of total
5603
claims on nonrelated parties as reported on Schedule RAL, item 1.i.................................................
8.
List below each component of this item greater than or equal to 1 percent of total claims on
nonrelated parties as reported on Schedule RAL, item 1.i:
RCFD
TEXT
5604
TEXT
5605
TEXT
5606
Bil
Mil
Thou
5604
a.
8.a.
5605
b.
8.b.
5606
c.
8.c.
FFIEC 002
16
Schedule L—Continued
NOTE: Exclude all transactions with related depository institutions.
(Column A)
Interest Rate
Dollar Amounts in Thousands
Contracts
Derivatives
1
RCFD Bil
Mil Thou
Position Indicators
(Column B)
Foreign Exchange
Contracts2
RCFD
Bil
Mil
(Column C)
Equity Derivative
Contracts
Thou RCFD
Bil
Mil
(Column D)
Commodity and
Other Contracts
Thou RCFD
Bil
Mil
Thou
9. Gross amounts (e.g.,
notional amounts):
8693
8694
8695
8696
a. Futures contracts........
9.a.
8697
8698
8699
8700
b. Forward contracts.......
9.b.
c. Exchange-traded
option contracts:
8701
8702
8703
8704
(1) Written options......
9.c.(1)
8705
8706
8707
8708
(2) Purchased options.
9.c.(2)
d. Over-the-counter
option contracts:
8709
8710
8711
8712
(1) Written options......
9.d.(1)
8713
8714
8715
8716
(2) Purchased options.
9.d.(2)
3450
3826
8719
8720
e. Swaps.........................
9.e.
10. Total gross notional
amount of derivative
A127
8723
8724
contracts held for trading. A126
10.
11. Total gross notional
amount of derivative
contracts held for
purposes other than
8726
8727
8728
trading .............................. 8725
11.
12. Gross fair values of
derivative contracts:
a. Contracts held for
trading:
(1) Gross positive fair
8734
8735
8736
value..................... 8733
12.a.(1)
(2) Gross negative
8738
8739
8740
fair value............... 8737
12.a.(2)
b. Contracts held for
purposes other than
trading:
(1) Gross positive fair
8742
8743
8744
value..................... 8741
12.b.(1)
(2) Gross negative
8746
8747
8748
fair value............... 8745
12.b.(2)
1. For each column, sum of items 9.a through 9.e must equal sum of items 10 and 11.
2. Spot foreign exchange is reported in Schedule L, item 2.
FFIEC 002
17
Schedule M— Due from/Due to Related Institutions in the U.S. and in Foreign
Countries (CONFIDENTIAL)
The Federal Financial Institutions Examination Council regards the individual respondent information provided by each reporting institution on this schedule as confidential. If it should be determined subsequently that any information collected on this
schedule must be released, respondents will be notified.
Total Reporting Branch or Agency
Including Its IBF
Dollar Amounts in Thousands
(Column A)
Gross due from
RCFD
Bil
Mil
(Column B)
Gross due to
Thou RCFD
Bil
Mil
Thou
PART I: Transactions of reporting institution including its IBF with related
depository institutions, reflected in net due from/due to items
(items 2.a and 5.a; Column A) in Schedule RAL.
Amounts outstanding as of report date:
1. U.S. domiciled offices of related depository institutions (including their
IBFs):
a. Related branches and agencies in the U.S.:
3008
3007
(1) In same state as the reporting office.................................................
1.a.(1)
3010
3009
(2) In other states...................................................................................
1.a.(2)
b. Offices in the U.S. of other related depository institutions (including
Edge and Agreement corporations and New York investment
3171
3172
companies)..............................................................................................
1.b.
2. Non-U.S. domiciled offices of related depository institutions:
3173
3174
a. Head office of parent bank......................................................................
2.a.
b. Non-U.S. branches and agencies of the parent bank:
3175
3176
(1) Offices in the Caribbean...................................................................
2.b.(1)
3177
3178
(2) Other offices......................................................................................
2.b.(2)
3179
3180
c. Other non-U.S. offices of related depository institutions.........................
2.c.
3002
3001
3. Total (sum of items 1.a, 1.b, and 2.a through 2.c)........................................
3.
4. Net due from head office and other related depository institutions (item 3,
Column A minus Column B—enter the amount with a minus sign (–) if
Column B is greater than Column A. The absolute value of item 4 must
equal Schedule RAL, item 2.a if item 3 Column A above is greater than
Column B, or Schedule RAL, item 5.a if item 3
3035
Column B above is greater than Column A)...........
4.
Memoranda
1. Average daily (or weekly) amounts for the quarter ending with the report
date:
a. Related depository offices domiciled in the U.S. (corresponds to
items 1.a and 1.b of Part I above)........................................................... 3026
b. Related depository offices domiciled outside of the U.S. (corresponds
to items 2.a through 2.c of Part I above)................................................ 3028
2. Sum of those parts of items 1.b and 2.c of Part I above that are with
wholly-owned depository subsidiaries of the parent bank............................ 3181
3. Trading assets and liabilities, related parties (amount is included in item 3
above, and in Schedule RAL, items 2.a and 5.a, respectively) ................... A006
3025
M.1.a.
3027
M.1.b.
3182
M.2.
A007
M.3.
FFIEC 002
18
Schedule M (CONFIDENTIAL)—Continued
IBF Only
(Column A)
Gross due from
Dollar Amounts in Thousands
RCFN
Bil
Mil
(Column B)
Gross due to
Thou RCFN
Bil
Mil
Thou
PART II: Transactions of reporting institution's IBF with related depository
institutions.
Amounts outstanding as of report date:
1. IBF transactions with related depository institutions other than
transactions with establishing entity:
a. IBF transactions with IBFs of related depository institutions domiciled
3004
3003
in the U.S. (included in Part I, item 1)......................................................
1.a.
b. IBF transactions with related depository institutions domiciled outside
the U.S. (included in Part I, item 2):
3173
3174
(1) Head office of parent bank.................................................................
1.b.(1)
(2) Non-U.S. branches and agencies of the parent bank:
3175
3176
(a) Offices in the Caribbean..............................................................
1.b.(2)(a)
3177
3178
(b) Other offices................................................................................
1.b.(2)(b)
3179
3180
(3) Other related depository institutions domiciled outside the U.S........
1.b.(3)
3002
3001
c. Total (sum of items 1.a and 1.b.(1) through 1.b.(3) above)......................
1.c.
d. IBF net due from related depository institutions
other than establishing entity (item 1.c,
Column A minus Column B—enter the amount
with a minus sign (–) if Column B is greater
3193
than Column A...................................................
1.d.
2. IBF net due from establishing entity (if net due to,
1888
enter the amount with a minus sign (–)).................
2.
3. IBF net due from all related depository institutions
(sum of items 1.d and 2 above; if negative, enter
the amount with a minus sign (–)). (If this item is
positive, it must equal Schedule RAL, item 2.b;
if this item is negative, its absolute value must
3194
equal Schedule RAL, item 5.b.).............................
3.
Total Reporting Branch or Agency
Including Its IBF
(Column A)
Gross due from
Dollar Amounts in Thousands
RCFD
Bil
Mil
(Column B)
Gross due to
Thou RCFD
Bil
Mil
Thou
PART III: Transactions of reporting institution including its IBF with related
nondepository subsidiaries. These are not reflected in the net due
from/due to items (items 2.a and 5.a) in Schedule RAL.
Amounts outstanding as of report date with:
3030
3029
1. Related nondepository majority-owned subsidiaries in the U.S....................
1.
3032
3031
2. Related nondepository majority-owned subsidiaries in foreign countries.....
2.
Memorandum
1. Amount of items 1 and 2 above for wholly-owned related nondepository
subsidiaries................................................................................................... 3034
3033
M.1.
FFIEC 002
19
Schedule M (Confidential)—Continued
Total Reporting
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands
RCFD
Bil
Mil
Thou
PART IV: Confidential Loan Information.
1. Amount of allowance for loan losses, if any, carried on the books of the reporting branch or
3195
agency including its IBF......................................................................................................................
1.
2150
2. Other real estate owned......................................................................................................................
2.
PART V: Derivatives and off-balance-sheet items: with related depository institutions.
5766
1. Commitments to make or purchase loans..........................................................................................
1.
A125
2. Spot foreign exchange contracts........................................................................................................
2.
5770
3. Total standby letters of credit..............................................................................................................
3.
5771
4. Commercial and similar letters of credit..............................................................................................
4.
5. Not applicable.
(Column A)
(Column B)
Guarantor
Beneficiary
6. Credit derivatives:
Bil
Mil
Thou
RCFD
Bil
Mil
Thou RCFD
a. Notional amounts:
G015
G014
(1) Credit default swaps........................................................................ 6.a.(1)
G017
G016
(2) Total return swaps...........................................................................
6.a.(2)
G019
G018
(3) Credit options...................................................................................
6.a.(3)
G021
G020
(4) Other credit derivatives...................................................................
6.a.(4)
b. Gross fair values:
C488
C484
(1) Gross positive fair value.................................................................
6.b.(1)
C489
C487
(2) Gross negative fair value...............................................................
6.b.(2)
Total Reporting
Branch or Agency
Including Its IBF
Mil
Thou
7. All other off-balance-sheet contingent liabilities greater than or equal to 1/2 percent of total claims RCFD Bil
8569
on related depository institutions as reported in Schedule M, Part I, Item 3, Column A.....................
7.
List below each component of this item greater than or equal to 1 percent
of total claims on related depository institutions as reported on
RCFD
Bil
Mil
Thou
Schedule M, Part I, Item 3, Column A:
TEXT
8570
8570
a.
7.a.
TEXT
8571
8571
b.
7.b.
TEXT
8572
8572
c.
7.c.
8. All other off-balance-sheet contingent claims (assets) greater than or equal to 1/2 percent of total
8573
claims on related depository institutions as reported in Schedule M, Part I, Item 3, Column A..........
8.
List below each component of this item greater than or equal to 1 percent
of total claims on related depository institutions as reported on
RCFD Bil
Mil Thou
Schedule M, Part I, Item 3, Column A:
TEXT
8574
8574
a.
8.a.
TEXT
8575
8575
b.
8.b.
TEXT
8576
8576
c.
8.c.
FFIEC 002
20
Schedule M (CONFIDENTIAL)—Continued
Dollar Amounts in Thousands
Derivatives
Position Indicators1
(Column A)
Interest Rate
Contracts
RCFD
Bil
Mil
(Column B)
Foreign Exchange
Contracts2
Thou RCFD
Bil
Mil
(Column C)
Equity Derivative
Contracts
Thou RCFD
Bil
Mil
(Column D)
Commodity and
Other Contracts
Thou RCFD
Bil
Mil
Thou
9. Gross amounts (e.g.,
notional amounts):
A008
A009
A010
A037
a. Futures contracts........
9.a.
A038
A039
A040
A041
b. Forward contracts.......
9.b.
c. Exchange-traded
option contracts:
A042
A043
A044
A045
(1) Written options......
9.c.(1)
A046
A047
A048
A049
(2) Purchased options.
9.c.(2)
d. Over-the-counter
option contracts:
A050
A051
A052
A053
(1) Written options......
9.d.(1)
A054
A055
A056
A057
(2) Purchased options.
9.d.(2)
A058
A059
A060
A061
e. Swaps.........................
9.e.
10. Total gross notional
amount of derivative
A063
A064
A065
contracts held for trading.. A062
10.
11. Total gross notional
A067
A068
A069
amount of derivative . ...... A066
11.
12. Gross fair values of
derivative contracts:
a. Contracts held for
trading:
(1) Gross positive fair
A075
A076
A077
value..................... A074
12.a.(1)
(2) Gross negative
A079
A080
A081
fair value............... A078
12.a.(2)
b. Contracts held for
purposes other than
trading:
(1) Gross positive fair
A083
A084
A085
value..................... A082
12.b.(1)
(2) Gross negative
A087
A088
A089
fair value............... A086
12.b.(2)
1. For each column, sum of items 9.a through 9.e must equal sum of items 10 and 11.
2. Spot foreign exchange is reported in Schedule M, Part V, item 2.
FFIEC 002
21
Schedule N—Past Due, Nonaccrual, and Restructured Loans
NOTE: Exclude all transactions with related depository institutions.
Total Reporting Branch or Agency Including Its IBF
(Column A)
Past due 30 through
89 days and still
accruing
Dollar Amounts in Thousands
RCFD
Bil
Mil
(Column B)
Past due 90 days or
more and still
accruing
Thou RCFD
Bil
Mil
(Column C)
Nonaccrual
Thou RCFD
Bil
Mil
(Column D)
Restructured and
in compliance with
modified terms
Thou RCFD
Bil
Mil
Thou
1. Total loans to U.S.
addressees (domicile):
a. Commercial and
1606
1607
1608
1609
industrial loans............
1.a.
b. Loans secured by real
1421
1422
1423
1424
estate..........................
1.b.
c. All other loans (including all lease financing
3183
3184
3185
3186
receivables).................
1.c.
2. Total loans to non-U.S.
1623
1624
1625
1627
addressees (domicile)......
2.
3. Total (sum of items 1.a
1406
1407
1403
1404
through 1.c and 2)............
3.
Memoranda
1. Book value of loans sold
or otherwise transferred
to head office or to
related institutions and
still serviced by the
reporting branch or
agency............................. 1628
2. Interest rate, foreign
exchange rate, and other
commodity and equity
contracts:
Fair value of amounts
carried as assets ............. 3529
1629
1582
3530
M.2.
1637
M.1.
FFIEC 002
22
Schedule O—Other Data for Deposit Insurance Assessments
This schedule is to be completed only by branches whose deposits are insured by the FDIC. Each FDIC-insured
branch must complete items 1 through 3, Memorandum item 1, and, if applicable, Memorandum items 2 through 4.
Each branch that reported $1 billion or more in total claims on nonrelated parties in item 1.i, column A, of Schedule
RAL as of the March 31, 2008, report date must complete items 4 through 6 each quarter. In addition, if an FDICinsured branch reports $1 billion or more in total claims on nonrelated parties in two consecutive Reports of Assets
and Liabilities of U.S. Branches and Agencies of Foreign Banks beginning with its June 30, 2008, report, the branch
must begin to complete items 4 through 6 each quarter starting six months after the second consecutive quarter in
which it reports total claims on nonrelated parties of $1 billion or more. Any other branch may choose to complete
items 4 through 6, but the branch must then continue to complete items 4 through 6 each quarter thereafter.
Reporting Branch
Including Its IBF
Dollar Amounts in Thousands
RCFD
Bil
Mil
Thou
1. Total deposit liabilities before exclusions (gross) as defined in Section 3(l) of the Federal
Deposit Insurance Act and FDIC regulations................................................................................. F236
1.
2. Total allowable exclusions, including interest accrued and unpaid on allowable exclusions
(including foreign deposits)............................................................................................................ F237
2.
3. Total foreign deposits, including interest accrued and unpaid thereon (included in item 2 RCFN
F234
above).................................................................................................................................................
3.
RCFD
4. Total daily average of deposit liabilities before exclusions (gross) as defined in Section 3(l)
of the Federal Deposit Insurance Act and FDIC regulations........................................................ F238
4.
5. Total daily average of allowable exclusions, including interest accrued and unpaid on
allowable exclusions (including foreign deposits)........................................................................ F239
5.
RCFN
6. Total daily average of foreign deposits, including interest accrued and unpaid thereon
F235
(included in item 5 above)................................................................................................................
6.
Dollar Amounts in Thousands
Reporting Branch
Excluding Its IBF
RCON
Memoranda
1. Total assessable deposits of the branch, including related interest accured and umpaid (sum of
Memorandum items 1.a.(1), 1.b.(1), 1.c.(1), and 1.d.(1) must equal Schedule O, item 1 less item 2):
a. Deposit accounts (excluding retirement accounts) of $250,000 or less:1
(1) Amount of deposit accounts (excluding retirement accounts) of $250,000 or less............. F049
Number
(2) Number of deposit accounts (excluding retirement accounts) of
Bil
Mil
Thou
$250,000 or less (to be completed for the June report only)............. F050
b. Deposit accounts (excluding retirement accounts) of more than
$250,000:1
(1) Amount of deposit accounts (excluding retirement accounts) of
more than $250,000................................................................................................................. F051
Number
(2) Number of deposit accounts (excluding retirement accounts) of
more than $250,000........................................................................... F052
c. Retirement deposit accounts of $250,000 or less:1
(1) Amount of retirement deposit accounts of $250,000 or less.................................................... F045
Number
(2) Number of retirement deposit accounts of $250,000 or less
(to be completed for the June report only)......................................... F046
d. Retirement deposit accounts of more than $250,000:1
(1) Amount of retirement deposit accounts of more than $250,000.............................................. F047
Number
(2) Number of retirement deposit accounts of more than $250,000........
F048
1. The dollar amounts used as the basis for reporting in Memoranda items 1.a. through 1.d. reflect the deposit insurance limits in effect on the
report date.
M.1.a.(1)
M.1.a.(2)
M.1.b.(1)
M.1.b.(2)
M.1.c.(1)
M.1.c.(2)
M.1.d.(1)
M.1.d.(2)
FFIEC 002
23
Schedule O—Continued
Reporting Branch
Excluding Its IBF
Dollar Amounts in Thousands
Memorandum item 2 is to be completed by branches with $1 billion or more in total claims on RCON
nonrelated parties.2
2. Estimated amount of uninsured assessable deposits in the branch, including related interest
accrued and unpaid.3.......................................................................................................................... 5597
3. Preferred deposits (to be completed for the December report only)............................................. 5590
Bil
Mil
Thou
M.2.
M.3.
Memorandum items 4.a and 4.b are to be completed by all branches participating
in the FDIC Transaction Account Guarantee Program.
4. Noninterest-bearing transaction accounts (as defined in Part 370 of the FDIC's regulations)
of more than $250,000 (see instructions):
a. Amount of noninterest-bearing transaction accounts of more than $250,000 (including balances
swept from noninterest-bearing transaction accounts to noninterest-bearing savings accounts).. G167
Number
b. Number of noninterest-bearing transaction accounts of more than
G168
$250,000..................................................................................................
M.4.a.
M.4.b.
2. The $1 billion size test is generally based on the total claims on nonrelated parties (Schedule RAL, item 1.i, column A) reported on the June 30, 2009,
Report of Assets and Liabilities of U.S. Branches and Agencies of Foreign Banks.
3. Uninsured assessable deposits should be estimated based on the deposit insurance limits set forth in Memorandum items 1.a through 1.d
without taking into account a branch's participation in the FDIC’s Transaction Account Guarantee Program.
Schedule P—Other Borrowed Money
NOTE: Exclude all transactions with related depository institutions.
Dollar Amounts in Thousands
(Column B)
IBF Only
(Column A)
Total Reporting
Branch or Agency
Including Its IBF
RCFD
Bil
Mil
Thou RCFN
Bil
Mil
Thou
1. Owed to nonrelated commercial banks in the U.S. (including their IBFs):
3312
3312
a. Owed to U.S. offices of nonrelated U.S. banks........................................
1.a.
3313
3313
b. Owed to U.S. branches and agencies of nonrelated foreign banks.........
1.b.
2. Owed to nonrelated banks in foreign countries:
3314
3314
a. Owed to foreign branches of nonrelated U.S. banks...............................
2.a.
3315
3315
b. Owed to foreign offices of nonrelated foreign banks................................
2.b.
2869
2869
3. Owed to others..............................................................................................
3.
RCXX
RCXY
3190
3190
4. Total (sum of items 1 through 3) (must equal Schedule RAL, item 4.c)........
4.
Memorandum
1. Immediately available funds with a maturity greater than one day included RCFD
in other borrowed money.............................................................................. 2805
M.1.
FFIEC 002
24
Schedule Q—Financial Assets and Liabilities Measured at Fair Value
Schedule Q is to be completed by branches and agencies that (1) have elected to account for financial instruments or servicing assets and liabilities at fair value
under a fair value option or (2) have trading assets of $2 million or more in any of the four preceding calendar quarters.
Fair Value Measurements for Assets and Liabilities
under a Fair Value Option and Trading Assets and Liabilities
(Included in Schedule RAL)
(Column A)
Total Fair Value
Reported on
Schedule RAL
Dollar Amounts in Thousands RCFD
Bil
Mil
(Column B)
LESS: Amounts Netted
in the Determination
of Total Fair Value
Thou RCFD
Bil
Mil
(Column C)
Level 1 Fair Value
Measurements
Thou RCFD
Bil
Mil
(Column D)
Level 2 Fair Value
Measurements
Thou RCFD
Bil
Mil
(Column E)
Level 3 Fair Value
Measurements
Thou RCFD
Bil
Mil
Thou
ASSETS
F243
F682
F690
F244
F245
1. Loans and leases...............................................
1.
F246
F683
F691
F247
F248
2. Trading assets....................................................
2.
a. Nontrading securities at fair value with
changes in fair value reported in current
earnings (included in Schedule Q,
F240
F684
F692
F241
F242
item 2, above)................................................
2.a.
3. All other financial assets and servicing
F685
F693
F250
F251
assets..................................................................................... F249
3.
LIABILITIES
F252
F686
F694
F253
F254
4. Deposits..............................................................
4.
F255
F687
F695
F256
F257
5. Trading liabilities................................................
5.
6. All other financial liabilities and servicing
F258
F688
F696
F259
F260
liabilities..............................................................
6.
7. Loan commitments (not accounted for as
F261
F689
F697
F262
F263
derivatives).........................................................
7.
FFIEC 002
Schedule S—Servicing, Securitization and Asset Sale Activities
(Column A)
1–4 Family
Residential
Loans
Dollar Amounts in Thousands
Bil
Mil
Thou
(Column B)
Home
Equity
Lines
Bil
Mil
Thou
(Column C)
Credit
Card
Receivables
Bil
Mil
Thou
(Column D)
Auto
Loans
Bil
Mil
Thou
(Column E)
Other
Consumer
Loans
Bil
Mil
Thou
(Column F)
Commercial
and Industrial
Loans
Bil
Mil
Thou
(Column G)
All Other
Loans, All
Leases, and All
Other Assets
Bil
Mil
Thou
Securitization Activities
1. Outstanding principal balance of
assets sold and securitized by the
reporting institution with servicing
RCFD B705
RCFD B706
RCFD B707
RCFD B708
RCFD B709
RCFD B710
RCFD B711
retained or with recourse or other
seller-provided credit enhancements.... 1.
2. Maximum amount of credit exposure
arising from recourse or other seller-
provided credit enhancements
provided to structures reported in
item 1 in the form of:
RCFD B712
RCFD B713
RCFD B714
RCFD B715
RCFD B716
RCFD B717
RCFD B718
a. Retained interest-only strips
(included in Schedule RAL).............. 2.a.
RCFD C393
RCFD C394
RCFD C395
RCFD C396
RCFD C397
RCFD C398
RCFD C399
b. Subordinated securities and
other residual interests..................... 2.b.
RCFD C400
RCFD C401
RCFD C402
RCFD C403
RCFD C404
RCFD C405
RCFD C406
c. Standby letters of credit and
other enhancements........................ 2.c.
3. Reporting institution’s unused
RCFD B726
RCFD B727
RCFD B728
RCFD B729
RCFD B730
RCFD B731
RCFD B732
commitments to provide liquidity to
structures reported in item 1................. 3.
4. Past due loan amounts included in
RCFD B733
RCFD B734
RCFD B735
RCFD B736
RCFD B737
RCFD B738
RCFD B739
item 1:
a. 30–89 days past due........................ 4.a.
RCFD B740
RCFD B741
RCFD B742
RCFD B743
RCFD B744
RCFD B745
RCFD B746
b. 90 days or more past due................ 4.b.
5. Not applicable.
6. Amount of ownership (or seller’s)
interests carried as:
RCFD B761
RCFD B762
RCFD B763
a. Securities (included in
Schedule RAL)................................. 6.a.
RCFD B500
RCFD B501
RCFD B502
b. Loans (included in
Schedule C)..................................... 6.b.
7. Past due loan amounts included in
RCFD B764
RCFD B765
RCFD B766
interests reported in item 6.a:
a. 30–89 days past due........................ 7.a.
RCFD B767
RCFD B768
RCFD B769
b. 90 days or more past due................ 7.b.
8. Not applicable.
25
FFIEC 002
Schedule S—Continued
(Column A)
1–4 Family
Residential
Loans
Dollar Amounts in Thousands
Bil
Mil
Thou
(Column B)
Home
Equity
Lines
Bil
Mil
Thou
(Column C)
Credit
Card
Receivables
Bil
Mil
Thou
(Column D)
Auto
Loans
Bil
Mil
Thou
(Column E)
Other
Consumer
Loans
Bil
Mil
Thou
(Column F)
Commercial
and Industrial
Loans
Bil
Mil
Thou
26
(Column G)
All Other
Loans, All
Leases, and All
Other Assets
Bil
Mil
Thou
For Securitization Facilities Sponsored
By or Otherwise Established By Other
Institutions
9. Maximum amount of credit exposure
arising from credit enhancements
provided by the reporting institution to
other institutions’ securitization
structures in the form of standby letters
RCFD B776
RCFD B777
RCFD B778
RCFD B779
RCFD B780
RCFD B781
RCFD B782
of credit, purchased subordinated
securities, and other enhancements..... 9.
10. Reporting institution’s unused
commitments to provide liquidity to
RCFD B783
RCFD B784
RCFD B785
RCFD B786
RCFD B787
RCFD B788
RCFD B789
other institutions’ securitization
structures..............................................
10.
Asset Sales
11. Assets sold with recourse or other
seller-provided credit enhancements
RCFD B790
RCFD B791
RCFD B792
RCFD B793
RCFD B794
RCFD B795
RCFD B796
and not securitized by the reporting
institution...............................................
11.
12. Maximum amount of credit exposure
arising from recourse or other seller
RCFD B797
RCFD B798
RCFD B799
RCFD B800
RCFD B801
RCFD B802
RCFD B803
provided credit enhancements pro
vided to assets reported in item 11.......
12.
Memorandum
Dollar Amounts in Thousands RCFD
1. Asset-backed commercial paper conduits:
a. Maximum amount of credit exposure arising from credit enhancements provided to conduit structures in the form of standby letters of
credit, subordinated securities, and other enhancements:
(1) Conduits sponsored by the reporting institution or related institution........................................................................................................... B806
(2) Conduits sponsored by other unrelated institutions...................................................................................................................................... B807
b. Unused commitments to provide liquidity to conduit structures:
(1) Conduits sponsored by the reporting institution or related institution........................................................................................................... B808
(2) Conduits sponsored by other unrelated institutions...................................................................................................................................... B809
Bil
Mil
Thou
M.1.a.(1)
M.1.a.(2)
M.1.b.(1)
M.1.b.(2)
FFIEC 002
27
Schedule T—Fiduciary and Related Services
Schedule T is to be completed annually as of the December 31 report date.
RCFD Yes
No
A345
1. Does the institution have fiduciary powers? (If “NO,” do not complete Schedule T.).....................
1.
RCFD Yes
No
2. Does the institution exercise the fiduciary powers it has been granted? ......................................
2.
A346
3. Does the institution have any fiduciary or related activity (in the form of assets or accounts)?
RCFD Yes
No
(If “NO,” do not complete the rest of Schedule T.)..........................................................................
3.
B867
If the answer to item 3 is “YES,” complete all applicable items of Schedule T.
(Column A)
Managed
Assets
Dollar Amounts in Thousands
Tril
Bil
Mil
Thou Tril
(Column B)
Non-Managed
Assets
Bil
Mil
(Column C)
Number of
Managed
Accounts
(Column D)
Number of
Non-Managed
Accounts
Thou
RCFD B868
RCFD B869
RCFD B870
RCFD B871
FIDUCIARY AND RELATED ASSETS
4. Personal trust and agency accounts........
4.
5. Retirement related trust and agency
accounts:
RCFD B872
RCFD B873
RCFD B874
RCFD B875
a. Employee benefit—defined
contribution..........................................
5.a.
RCFD B876
RCFD B877
RCFD B878
RCFD B879
b. Employee benefit—defined
benefit.................................................
5.b.
RCFD B880
RCFD B881
RCFD B882
RCFD B883
c. Other retirement accounts...................
5.c.
RCFD B884
RCFD B885
RCFD C001
RCFD C002
6. Corporate trust and agency accounts......
6.
RCFD B886
RCFD B888
7. Investment management agency
accounts................................................... 7.
RCFD B890
RCFD B891
RCFD B892
RCFD B893
8. Other fiduciary accounts.......................... 8.
RCFD B894
RCFD B895
RCFD B896
RCFD B897
9. Total fiduciary accounts
(sum of items 4 through 8).......................
9.
10. Custody and safekeeping accounts.........
RCFD B898
RCFD B899
10.
FFIEC 002
28
Schedule T—Continued
Memoranda
Managed Assets
Dollar Amounts in Thousands
RCFD
1. Managed assets held in personal trust and agency accounts:
a. Noninterest-bearing deposits.................................................................................................... B913
b. Interest-bearing deposits........................................................................................................... B914
c. U.S. Treasury and U.S. Government agency obligations.......................................................... B915
d. State, county and municipal obligations.................................................................................... B916
e. Money market mutual funds...................................................................................................... B917
f. Other short-term obligations...................................................................................................... B918
g. Other notes and bonds.............................................................................................................. B919
h. Common and preferred stocks.................................................................................................. B920
i. Real estate mortgages.............................................................................................................. B921
j. Real estate................................................................................................................................ B922
k. Miscellaneous assets................................................................................................................ B923
Tril
Bil
Bil
Mil
Mil
Thou
Thou
M.1.a.
M.1.b.
M.1.c.
M.1.d.
M.1.e.
M.1.f.
M.1.g.
M.1.h.
M.1.i.
M.1.j.
M.1.k.
RCXX B868
l. Total managed assets held in personal trust and agency accounts (sum of Memorandum
items 1.a through 1.k) (must equal Schedule T, item 4, column A)........................................... M.1.l.
Dollar Amounts in Thousands
(Column A)
Number of
Issues
(Column B)
Principal Amount
Outstanding
RCFD
Tril
2. Corporate trust and agency accounts:
a. Corporate and municipal trusteeships............................................................... B927
b. Transfer agent, registrar, paying agent, and other corporate agency............... B929
Dollar Amounts in Thousands
(Column A)
Number of
Funds
Bil
Mil
M.2.a.
M.2.b.
(Column B)
Market Value of
Fund Assets
Tril
Bil
Mil
RCFD B931
RCFD B932
RCFD B933
RCFD B934
RCFD B935
RCFD B936
RCFD B937
RCFD B938
RCFD B939
RCFD B940
RCFD B941
RCFD B942
RCFD B943
RCFD B944
g. Specialty/Other..................................................................................................
h. Total collective investment funds (sum of Memorandum items 3.a
through 3.g).......................................................................................................
RCFD B945
RCFD B946
3. Collective investment funds and common trust funds:
a. Domestic equity.................................................................................................
b. International/Global equity................................................................................
c. Stock/Bond blend..............................................................................................
d. Taxable bond.....................................................................................................
e. Municipal bond..................................................................................................
f. Short term investments/Money market.............................................................
Thou
RCFD B928
Thou
M.3.a.
M.3.b.
M.3.c.
M.3.d.
M.3.e.
M.3.f.
M.3.g.
M.3.h.
FFIEC 002
29
Person to whom questions about Schedule T—Fiduciary and Related Services should be directed:
Name and Title (TEXT B962)
E-mail Address (TEXT B926)
Telephone: Area code/phone number/extension (TEXT B963)
FAX: Area code/phone number (TEXT B964)
| File Type | application/pdf |
| File Modified | 2010-08-02 |
| File Created | 2010-06-17 |