Form FR Y-7 FR Y-7 Annual Report of Foreign Banking Organizations

FR Y-7
OMB Number 7100–0297
Expires December 31, 2009

Board of Governors of the Federal Reserve System

Annual Report of Foreign Banking Organizations—FR Y-7
Report at the close of business as of the end of fiscal year
This report form is authorized by law: Section 7 and 13(a) of the
International Banking Act of 1978 (12 U.S.C. 3106 and 3108 (a)).
This report is to be filed by foreign banking organizations provided
the organization meets the requirements of and is treated as a
qualifying foreign banking organization under Section 211.23(a)
of Regulation K or meets the requirements for limited exemption
under Section 211.23(c) of Regulation K.

Return to the appropriate Federal Reserve Bank the original and
number of copies of the completed report required by the Federal
Reserve Bank. The Federal Reserve may not conduct or sponsor,
and an organization (or a person) is not required to respond to, an
information collection unless it displays a currently valid OMB
control number.

NOTE: The Annual Report of Foreign Banking Organizations
must be signed by an authorized official of the foreign
banking organization.

Date of Report (foreign banking organization's fiscal year end):

Month / Day / Year

I,
Name and Title of Foreign Banking Organization Authorized Official

attest that the Annual Report of Foreign Banking Organizations
(including the supporting attachments) for this report date
have been prepared in conformance with the instructions
issued by the Federal Reserve System and are true and
correct to the best of my knowledge and belief.

Legal Name of Foreign Banking Organization (Top-tier if filing as a tiered organization)

Street Address of the Foreign Banking Organization

City / Country

Mailing Address of Principal Office (If different from street address)

Signature of Foreign Banking Organization Authorized Official

City / Country

Date of Signature

Does the reporter request confidential treatment for any portion of
this submission?
Yes Please identify the report items to which this
request applies:

Person in the United States to whom questions about this report
should be directed:
Name / Title

Street

In accordance with the instructions on page
GEN, a letter justifying the request is being
provided.
The information for which confidential treament
is sought is being submitted separately labeled
“Confidential.”

City / State / Zip Code

Area Code / Phone Number

Area Code / Fax Number

E-mail Address

No

For Federal Reserve Bank Use Only

Address (URL) for the Foreign Banking Organization's web page

RSSD Number
C.I.
Public reporting burden for the information collection in the FR Y-7 is estimated to average 3.50 hours per response, including time to gather and maintain data in the required
form and to review instructions and complete the information collection.
12/06

FR Y-7
COV-2

Checklist
The checklist below is provided to assist the reporting foreign banking organization in filing all the necessary responses to the various report
items. Each report item should be checked and the appropriate blanks filled in. The completed checklist should be returned with the report.
Check the Yes, No or N/A checkbox below, as appropriate, to indicate if the report item is included with the initial filing.
Report Item 1: Financial Information Regarding the Foreign Banking Organization (FBO)
Yes

No

Yes

1(a) Response provided in Attachment(s) #
1(b) Response provided in Attachment(s) #

Report Item 2: Organization Information for the FBO
Yes
Yes

2(a) Response provided in Attachment(s) #
N/A

2(b) Response provided in Attachment(s) #

Report Item 3: Shares and Shareholders
Yes

3(a) Response provided on report page or in Attachment(s) #

Yes

No

3(b) Response provided on report page or in Attachment(s) #

Yes

No

3(c) Response provided on report page or in Attachment(s) #

Report Item 4: Eligibility as a Qualified Foreign Banking Organization (QFBO)
Yes

No

Items 4(e) and 4(f) have been completed and provided in Attachment(s) #

Yes

N/A

Items 4(j) and 4(k) have been completed and provided in Attachment(s) #

Yes

N/A

Items 4(l) and 4(m) have been completed and provided in Attachment(s) #

12/06

FR Y-7
COV-3

For Use by Tiered Foreign Banking Organizations
Tiered foreign banking organizations must list the legal name, mailing address, and physical location of subsidiary foreign
banking organizations below. Refer to Who Must Report in the general instructions for filing by tiered foreign banking
organizations.

A. For the fiscal year ending on

,
Month

Day

Year

Legal name of subsidiary foreign banking organization:

Mailing address of head office:
Street

City

Country

Physical location of principal office:
Street
(not mailing address)

City

Country

Name and address of authorized official in the United States:

Street

City

State

Area Code / Phone Number

ZIP Code

Area Code / Fax Number

E-mail Address

I,
Name

Title

an authorized official of the company named above, certify that this Annual Report of Foreign Banking Organizations has been prepared
in conformance with the report instructions.

Signature of Authorized Official

Date

12/06

FR Y-7
COV-4

For Use by Tiered Foreign Banking Organizations—continued
(If the Foreign Banking Organization has more than two tiers, use additional pages as needed.)

B. For the fiscal year ending on

,
Month

Day

Year

Legal name of subsidiary foreign banking organization:

Mailing address of head office:
Street

City

Country

Physical location of principal office:
Street
(not mailing address)

City

Country

Name and address of authorized official in the United States:

Street

City

State

Area Code / Phone Number

ZIP Code

Area Code / Fax Number

E-mail Address

I,
Name

Title

an authorized official of the company named above, certify that this Annual Report of Foreign Banking Organizations has been prepared
in conformance with the report instructions.

Signature of Authorized Official

Date

12/06