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 December 31, 2011
1
Federal Financial Institutions Examination Council
Report of Assets and Liabilities of U.S. Branches and Agencies
of Foreign Banks—FFIEC 002
(20111231)
Report at the close of business December 31, 2011
(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
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.
County
I,
Name of Senior Executive Officer
Title of Senior Executive Officer
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 25.42
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.
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
3
USA PATRIOT Act Section 314(a) Anti-Money Laundering Contact Information
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
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,
item 6) ....................................................................................................
b. U.S. Government securities:
(1) U.S. Treasury securities ....................................................................
(2) U.S. Government agency obligations ...............................................
c. Other bonds, notes, debentures, and corporate stock (including state
and local securities):
(1) Securities of foreign governments and official institutions ................
(2) Mortgage-backed securities:
(a) Issued or guaranteed by U.S. Government agencies.................
(b) Other...........................................................................................
(3) Other asset-backed securities ..........................................................
(4) All other .............................................................................................
d. Federal funds sold and securities purchased under agreements to
resell:
(1) Federal Funds sold:
(a) With commercial banks in the U.S..............................................
(b) With nonbank brokers and dealers in securities .........................
(c) With others .................................................................................
(2) Securities purchased under agreements to resell:
(a) With commercial banks in the U.S..............................................
(b) With nonbank brokers and dealers in securities .........................
(c) With others .................................................................................
e. Loans and leases, net of unearned income (from Schedule C, item 11).
f. Trading assets:
(1) U.S. Treasury and Agency securities ................................................
(2) Mortgage-backed securities:
(a) Issued or guaranteed by U.S. Government agencies ............
(b) Other ...........................................................................................
(3) Other asset-backed securities .......................................................
(4) Other trading assets..........................................................................
g. Not applicable
h. Other assets including other claims on nonrelated parties......................
i. Total claims on nonrelated parties (sum of items 1.a through 1.h) ..........
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
enter -0-)..................................................................................................
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
than item 1.i; otherwise enter -0-)............................................................
RCFD
0010
Bil
Mil
(Column B)
IBF Only
Thou RCFN
0010
0260
0371
Bil
Mil
Thou
1.a.
1.b.(1)
1.b.(2)
A003
C035
C416
C417
C036
C037
A003
C035
C416
C417
C036
C037
1.c.(1)
C412
F856
C413
C412
F856
C413
1.d.(1)(a)
1.d.(1)(b)
1.d.(1)(c)
C414
F857
C415
2122
C414
F857
C415
2122
1.d.(2)(a)
1.d.(2)(b)
1.d.(2)(c)
1.e.
K479
K479
1.f.(1)
K298
3536
K299
K302
K298
3536
K299
K302
1.f.(2)(a)
1.f.(2)(b)
1.f.(3)
1.f.(4)
2151
2171
2151
2171
1.h.
1.i.
2154
1.c.(2)(a)
1.c.(2)(b)
1.c.(3)
1.c.(4)
2.a.
2154
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
ASSETS—Continued
3. Total assets (for Column A, sum of items 1.i and 2.a; for Column B,
sum of items 1.i and 2.b) ............................................................................... 2170
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.)
a. Total deposits and credit balances (from Schedule E, item 7) ................
b. Federal funds purchased and securities sold under agreements to
repurchase:
(1) Federal Funds purchased:
(a) With commercial banks in the U.S..............................................
(b) With others .................................................................................
(2) Securities sold under agreements to repurchase:
(a) With commercial banks in the U.S..............................................
(b) With others .................................................................................
c. Other borrowed money (from Schedule P, item 4) ..................................
d. Not applicable.
e. Trading liabilities ......................................................................................
f. Other liabilities to nonrelated parties .......................................................
g. Total liabilities to nonrelated parties (sum of items 4.a through 4.f) ........
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
of Column A if item 1.i is greater than item 4.g; otherwise enter -0-).......
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;
otherwise enter -0-) .................................................................................
6. Total liabilities (for Column A, sum of items 4.g and 5.a; for Column B,
sum of items 4.g and 5.b) ..............................................................................
Memoranda
1. Fair value of held-to-maturity securities .......................................................
2. Amortized cost of held-to-maturity securities ...............................................
3. Fair value of available-for-sale securities .....................................................
4. Amortized cost of available-for-sale securities .............................................
Bil
Mil
Thou RCFN
Bil
Mil
Thou
2170
3.
2205
2205
4.a.
C420
C421
C420
C421
4.b.(1)(a)
4.b.(1)(b)
C422
C423
3190
C422
C423
3190
4.b.(2)(a)
4.b.(2)(b)
4.c.
3548
2916
2927
3548
2916
2927
4.e.
4.f.
4.g.
2944
5.a.
2944
5.b.
2950
2950
6.
1771
1754
1773
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
Memoranda—Continued
5. Loans held for trading (included in Schedule RAL, item 1.f.(4)):
a. Loans secured by real estate:
(1) Construction, land development, and other land loans .....................
(2) Secured by farmland (including farm residential and other
improvements) ..................................................................................
(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 ............................
(b) Closed-end loans secured by 1–4 family residential properties .
(4) Secured by multifamily (5 or more) residential properties.................
(5) Secured by nonfarm nonresidential properties .................................
b. Commercial and industrial loans .............................................................
c. Other loans ..............................................................................................
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 .....................
(2) Secured by farmland (including farm residential and other
improvements) ..................................................................................
(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 ............................
(b) Closed-end loans secured by 1–4 family residential properties .
(4) Secured by multifamily (5 or more) residential properties.................
(5) Secured by nonfarm nonresidential properties .................................
b. Commercial and industrial loans .............................................................
c. Other loans ..............................................................................................
7. Fair value of structured notes.......................................................................
8. Amortized cost of structured notes...............................................................
9. Assets under the reporting branch or agency's management in
proprietary mutual funds and annuities ........................................................
10. Derivatives with a positive fair value held for trading purposes ...................
11. Derivatives with a negative fair value held for trading purposes ..................
12. Not applicable.
13. Pledged U.S. government securities1 ..........................................................
RCFD
Bil
Mil
Thou RCFN
Bil
Mil
Thou
F604
F604
M.5.a.(1)
F605
F605
M.5.a.(2)
F606
G006
F612
F613
F614
G007
F606
G006
F612
F613
F614
G007
M.5.a.(3)(a)
M.5.a.(3)(b)
M.5.a.(4)
M.5.a.(5)
M.5.b.
M.5.c.
F625
F625
M.6.a.(1)
F626
F626
M.6.a.(2)
F627
G008
F630
F631
F632
G009
8783
8782
F627
G008
F630
F631
F632
G009
8783
8782
M.6.a.(3)(a)
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
B570
3543
3547
M.9.
M.10.
M.11.
2785
2785
M.13.
1. Includes held-to-maturity securities at amortized cost and available-for-sale securities at fair value.
FFIEC 002
7
Schedule RAL—Continued
Total Reporting
Branch or Agency
Including Its IBF
Memoranda—Continued
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
16. Number of full-time equivalent employees of the branch or agency at
end of current period (round to nearest whole number) ...............................
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
Number
4150
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
STATUTORY OR REGULATORY REQUIREMENT
as appropriate for the reporting institution (see instructions)
1. Asset maintenance requirement ..................................................................
2. Asset pledge requirement/Capital equivalency deposit ...............................
3. FDIC asset maintenance requirement (for FDIC insured branches only):
a. Average liabilities for the preceding calendar quarter .............................
b. Eligible assets as of the report date ........................................................
RCFD
Bil
Mil
Thou
3343
3349
S.1.
S.2.
2334
2387
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
1. Cash items in process of collection and unposted debits ............................ 0020
2. Currency and coin (U.S. and foreign)........................................................... 0080
Bil
Mil
(Column B)
IBF Only
Thou RCFN
Bil
Mil
Thou
0020
1.
2.
0083
0085
0083
0085
3.a.
3.b.
0073
2431
3149
0090
0073
2431
3149
4.a.
4.b.
4.c.
5.
RCXX
RCXY
6. Total (sum of items 1 through 5) (must equal Schedule RAL, item 1.a) ....... 0010
0010
3. Balances due from depository institutions in the U.S.:
a. U.S. branches and agencies of other foreign banks (including their
IBFs) ........................................................................................................
b. Other depository institutions in the U.S. (including their IBFs) ................
4. Balances due from banks in foreign countries and foreign central banks:
a. Foreign branches of U.S. banks ..............................................................
b. Banks in home country and home country central bank ........................
c. All other banks in foreign countries and foreign central banks ...............
5. Balances due from Federal Reserve Banks.................................................
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
1. Loans secured by real estate:
a. Construction, land development, and other land loans ...........................
b. Secured by farmland (including farm residential and other
improvements).........................................................................................
c. Secured by 1–4 family residential properties:
(1) Revolving, open-end loans secured by 1–4 family residential
properties and extended under lines of credit ...................................
(2) Closed-end loans secured by 1–4 family residential properties........
d. Secured by multifamily (5 or more) residential properties .......................
e. Secured by nonfarm nonresidential properties........................................
2. Loans to depository institutions and acceptances of other banks:
a. To commercial banks in the U.S. (including their IBFs):
(1) To U.S. branches and agencies of other foreign banks ....................
(2) To other commercial banks in the U.S. .............................................
b. To other depository institutions in the U.S. (including their IBFs) ............
c. To banks in foreign countries:
(1) To foreign branches of U.S. banks ....................................................
(2) To other banks in foreign countries ...................................................
3. Loans to other financial institutions ..............................................................
4. Commercial and industrial loans:
a. To U.S. addressees (domicile) ................................................................
b. To non-U.S. addressees (domicile) .........................................................
5. Not applicable.
6. Loans to foreign governments and official institutions (including foreign
central banks)...............................................................................................
7. Loans for purchasing or carrying securities (secured and unsecured) ........
8. All other loans (include state and local obligations other than securities
and loans to individuals)...............................................................................
9. Lease financing receivables (net of unearned income):
a. Of U.S. addressees (domicile) ................................................................
b. Of non-U.S. addressees (domicile) .........................................................
10. Less: Any unearned income on loans reflected in items 1–8 above ............
11. Total loans and leases, net of unearned income (sum of items 1 through
9 minus item 10) (must equal Schedule RAL, item 1.e) ...............................
Memoranda
1.–2. Not applicable.
3. Commercial and industrial loans with remaining maturity of one year or
less (excluding those in nonaccrual status):
a. With predetermined interest rates ...........................................................
b. With floating interest rates .......................................................................
4. Commercial and industrial loans with remaining maturity of more than
one year (excluding those in nonaccrual status):
a. With predetermined interest rates ...........................................................
b. With floating interest rates .......................................................................
(Column B)
IBF Only
(Column A)
Total Reporting
Branch or Agency
Including Its IBF
RCFD
Bil
Mil
Thou RCFN
Bil
Mil
Thou
1415
1415
1.a.
1420
1420
1.b.
1797
1798
1460
1480
1797
1798
1460
1480
1.c.(1)
1.c.(2)
1.d.
1.e.
B532
B533
B534
B532
B533
B534
2.a.(1)
2.a.(2)
2.b.
B536
B537
1520
B536
B537
1520
2.c.(1)
2.c.(2)
3.
1763
1764
1763
1764
4.a.
4.b.
2081
1545
2081
1545
6.
7.
1885
1885
8.
2182
2183
2123
2182
2183
2123
9.a.
9.b.
10.
RCXX
RCXY
2122
2122
11.
RCFD
6119
6120
M.3.a.
M.3.b.
6122
6123
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
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 .....................
(2) Secured by farmland (including farm residential and other
improvements) ..................................................................................
(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 ............................
(b) Closed-end loans secured by 1–4 family residential properties .
(4) Secured by multifamily (5 or more) residential properties.................
(5) Secured by nonfarm nonresidential properties .................................
b. Commercial and industrial loans .............................................................
c. Other loans ..............................................................................................
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 ......................
(2) Secured by farmland (including farm residential and other
improvements) ..................................................................................
(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 ............................
(b) Closed-end loans secured by 1–4 family residential properties .
(4) Secured by multifamily (5 or more) residential properties.................
(5) Secured by nonfarm nonresidential properties .................................
b. Commercial and industrial loans .............................................................
c. Other loans ..............................................................................................
(Column B)
IBF Only
(Column A)
Total Reporting
Branch or Agency
Including Its IBF
RCFD
Bil
Mil
Thou RCFN
Bil
Mil
Thou
F578
F578
M.5.a.(1)
F579
F579
M.5.a.(2)
F580
G010
F583
F584
F585
G011
F580
G010
F583
F584
F585
G011
M.5.a.(3)(a)
M.5.a.(3)(b)
M.5.a.(4)
M.5.a.(5)
M.5.b.
M.5.c.
F590
F590
M.6.a.(1)
F591
F591
M.6.a.(2)
F592
G012
F595
F596
F597
G013
F592
G012
F595
F596
F597
G013
M.6.a.(3)(a)
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
RCON
amounts of $100,000 or less. (If your branch has no loans outstanding in this loan category,
place an “X” in the box marked “NO.”) .......................................................................................... 6863
Yes
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
branch's IBF) reported in Schedule C, part I, item 4.a. column A. (Note: Item 4.a, column A,
divided by the number of loans should NOT exceed $100,000.) .................................................. 5563
(Column A)
Number of Loans
Dollar Amounts in Thousands
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):
a. With original amounts of $100,000 or less............................................
b. With original amounts of more than $100,000 through $250,000 .........
c. With original amounts of more than $250,000 through $1,000,000 ......
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):
a. With original amounts of $100,000 or less............................................
b. With original amounts of more than $100,000 through $250,000 .........
c. With original amounts of more than $250,000 through $1,000,000 ......
Number of Loans
1.b.
(Column B)
Amount
Currently
Outstanding
RCON
RCON
Bil
Mil
Thou
5564
5566
5568
5565
5567
5569
2.a.
2.b.
2.c.
5570
5572
5574
5571
5573
5575
3.a.
3.b.
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
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):
a. With original amounts of $100,000 or less...........................................
b. With original amounts of more than $100,000 through $250,000 ........
c. With original amounts of more than $250,000 through $500,000 ........
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):
a. With original amounts of $100,000 or less...........................................
b. With original amounts of more than $100,000 through $250,000 ........
c. With original amounts of more than $250,000 through $500,000 ........
(Column B)
Amount
Currently
Outstanding
RCON
RCON
Bil
Mil
Thou
5578
5580
5582
5579
5581
5583
4.a.
4.b.
4.c.
5584
5586
5588
5585
5587
5589
5.a.
5.b.
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
1. Individuals, partnerships,
and corporations (include
all certified and official
checks):
a. U.S. addressees
(domicile) .................... C040
b. Non-U.S. addressees
(domicile) .................... C043
2. Commercial banks in the
U.S. (including their IBFs):
a. U.S. branches and
agencies of other
foreign banks .............. 1643
b. Other commercial
banks in the U.S. ........ 1645
3. Banks in foreign countries:
a. Foreign branches of
U.S. banks .................. 1646
b. Other banks in foreign
countries ..................... 1647
4. Foreign governments and
official institutions (including foreign central banks) 1649
5. All other deposits and
credit balances ................ 1650
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
Schedule RAL, item 4.a,
Column B) ....................... 1653
Bil
Mil
(Column B)
Memo: Total demand
deposits1 (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 liabilities2
Thou RCFN
Bil
Mil
Thou
C041
C042
1.a.
C044
C045
1.b.
2347
1668
2.a.
2348
1669
2.b.
2367
1671
3.a.
2373
1672
3.b.
2377
2650
4.
2259
2261
5.
RCXY
2210
2385
2205
7.
1. Includes interest-bearing and noninterest-bearing demand deposits.
2. 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.”
FFIEC 002
14
Schedule E—Continued
Memoranda
Total Reporting
Branch or Agency
Excluding Its IBF
Dollar Amounts in Thousands
RCON
Bil
Mil
Thou
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 deposits of $100,000 or more with remaining maturity of more than 12 months
included in Memorandum item 1.a, “Time deposits of $100,000 or more,” above ................ 6643
M.1.a.
M.1.b.
M.1.c.
Schedule K—Quarterly Averages1
NOTE: Exclude all transactions with related depository institutions.
Total Reporting
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands
ASSETS
1. Interest-bearing balances due from depository institutions (corresponds to part of Schedule RAL,
item 1.a, Column A)............................................................................................................................
2. Federal funds sold and securities purchased under agreements to resell (corresponds to
Schedule RAL, item 1.d, Column A)...................................................................................................
3. Total loans, net of unearned income (corresponds to Schedule RAL, item 1.e, Column A) ..............
4. Loans to and acceptances of banks in foreign countries (corresponds to Schedule C, item 2.c,
Column A) ..........................................................................................................................................
5. Total claims on nonrelated parties (corresponds to Schedule RAL, item 1.i, Column A) ...................
LIABILITIES
6. Time certificates of deposit of $100,000 or more (corresponds to part of Schedule E,
Memorandum item 1.a) ......................................................................................................................
7. Interest-bearing deposits2 and credit balances (corresponds to part of Schedule RAL, item 4.a,
Column A) ..........................................................................................................................................
8. Federal funds purchased and securities sold under agreements to repurchase (corresponds to
Schedule RAL, item 4.b, Column A)...................................................................................................
9. Other borrowed money (corresponds to Schedule RAL, item 4.c, Column A) ...................................
RCFD
Bil
Mil
Thou
3381
1.
3365
3360
2.
3.
3105
3106
4.
5.
3345
6.
3107
7.
3353
3355
8.
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).
2. Includes interest-bearing demand deposits.
FFIEC 002
15
Schedule L—Derivatives and Off-Balance-Sheet Items
NOTE: Exclude all transactions with related depository institutions.
Total Reporting
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands
RCFD
Bil
Mil
Thou
1. Commitments to make or purchase loans.......................................................................................... 3423
2. Spot foreign exchange contracts........................................................................................................ 8765
1.
2.
3. Standby letters of credit:
a. Total ...............................................................................................................................................
(1) To U.S. addressees (domicile) ................................................................................................
(2) To non-U.S. addressees (domicile) .........................................................................................
b. Amount of total standby letters of credit in item 3.a conveyed to others through participations ...
4. Commercial and similar letters of credit .............................................................................................
5. Not applicable.
3.a.
3.a.(1)
3.a.(2)
3.b.
4.
6. Credit derivatives:
a. Notional amounts:
(1) Credit default swaps ..........................................................................
(2) Total return swaps ..............................................................................
(3) Credit options .....................................................................................
(4) Other credit derivatives ......................................................................
b. Gross fair values:
(1) Gross positive fair value.....................................................................
(2) Gross negative fair value ...................................................................
3375
3376
3377
3378
3411
(Column A)
Guarantor
RCFD
Bil
Mil
(Column B)
Beneficiary
Thou RCFD
Bil
Mil
Thou
C968
C970
C972
C974
C969
C971
C973
C975
6.a.(1)
6.a.(2)
6.a.(3)
6.a.(4)
C219
C220
C221
C222
6.b.(1)
6.b.(2)
Total Reporting
Branch or Agency
Including Its IBF
7. All other off-balance-sheet contingent liabilities greater than or equal to 1/2 percent of total claims RCFD
on nonrelated parties as reported on Schedule RAL, item 1.i ........................................................... 5602
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
5598
TEXT
5600
TEXT
5601
Bil
Mil
RCFD
a.
b.
c.
5604
5605
5606
Bil
Mil
Mil
Thou
7.
Thou
5598
5600
5601
a.
b.
c.
8. All other off-balance-sheet contingent claims (assets) greater than or equal to 1/2 percent of total
claims on nonrelated parties as reported on Schedule RAL, item 1.i ................................................ 5603
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:
TEXT
5604
TEXT
5605
TEXT
5606
Bil
7.a.
7.b.
7.c.
8.
Thou
8.a.
8.b.
8.c.
FFIEC 002
16
Schedule L—Continued
NOTE: Exclude all transactions with related depository institutions.
Dollar Amounts in Thousands
Derivatives
Position Indicators1
9. Gross amounts (e.g.,
notional amounts):
a. Futures contracts........
b. Forward contracts.......
c. Exchange-traded
option contracts:
(1) Written options .....
(2) Purchased options
d. Over-the-counter
option contracts:
(1) Written options .....
(2) Purchased options
e. Swaps.........................
10. Total gross notional
amount of derivative
contracts held for trading
11. Total gross notional
amount of derivative
contracts held for
purposes other than
trading .............................
12. Gross fair values of
derivative contracts:
a. Contracts held for
trading:
(1) Gross positive fair
value ....................
(2) Gross negative
fair value ..............
b. Contracts held for
purposes other than
trading:
(1) Gross positive fair
value ....................
(2) Gross negative
fair value ..............
(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
Thou
(Column D)
Commodity and
Other Contracts
RCFD
Bil
Mil
Thou
8693
8697
8694
8698
8695
8699
8696
8700
9.a.
9.b.
8701
8705
8702
8706
8703
8707
8704
8708
9.c.(1)
9.c.(2)
8709
8713
3450
8710
8714
3826
8711
8715
8719
8712
8716
8720
9.d.(1)
9.d.(2)
9.e.
A126
A127
8723
8724
10.
8725
8726
8727
8728
11.
8733
8734
8735
8736
12.a.(1)
8737
8738
8739
8740
12.a.(2)
8741
8742
8743
8744
12.b.(1)
8745
8746
8747
8748
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
(Column A)
Gross due from
Dollar Amounts in Thousands
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.:
(1) In same state as the reporting office ................................................
(2) In other states ..................................................................................
b. Offices in the U.S. of other related depository institutions (including
Edge and Agreement corporations and New York investment
companies) .............................................................................................
2. Non-U.S. domiciled offices of related depository institutions:
a. Head office of parent bank .....................................................................
b. Non-U.S. branches and agencies of the parent bank:
(1) Offices in the Caribbean ..................................................................
(2) Other offices.....................................................................................
c. Other non-U.S. offices of related depository institutions ........................
3. Total (sum of items 1.a, 1.b, and 2.a through 2.c) .......................................
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
Column B above is greater than Column A) .......... 3035
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) ..........................................................
b. Related depository offices domiciled outside of the U.S. (corresponds
to items 2.a through 2.c of Part I above) ...............................................
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 ...........................
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) ..................
RCFD
Bil
Mil
(Column B)
Gross due to
Thou RCFD
Bil
Mil
Thou
3008
3010
3007
3009
1.a.(1)
1.a.(2)
3171
3172
1.b.
3173
3174
2.a.
3175
3177
3179
3002
3176
3178
3180
3001
2.b.(1)
2.b.(2)
2.c.
3.
4.
3026
3025
M.1.a.
3028
3027
M.1.b.
3181
3182
M.2.
A006
A007
M.3.
FFIEC 002
18
Schedule M (CONFIDENTIAL)—Continued
IBF Only
(Column A)
Gross due from
Dollar Amounts in Thousands
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
in the U.S. (included in Part I, item 1)......................................................
b. IBF transactions with related depository institutions domiciled outside
the U.S. (included in Part I, item 2):
(1) Head office of parent bank ................................................................
(2) Non-U.S. branches and agencies of the parent bank:
(a) Offices in the Caribbean .............................................................
(b) Other offices ...............................................................................
(3) Other related depository institutions domiciled outside the U.S........
c. Total (sum of items 1.a and 1.b.(1) through 1.b.(3) above) .....................
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
than Column A .................................................. 3193
2. IBF net due from establishing entity (if net due to,
enter the amount with a minus sign (–)) ................ 1888
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
equal Schedule RAL, item 5.b.) ............................ 3194
RCFN
Bil
Mil
(Column B)
Gross due to
Thou RCFN
Bil
Mil
Thou
3004
3003
1.a.
3173
3174
1.b.(1)
3175
3177
3179
3002
3176
3178
3180
3001
1.b.(2)(a)
1.b.(2)(b)
1.b.(3)
1.c.
1.d.
2.
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:
1. Related nondepository majority-owned subsidiaries in the U.S. .................. 3030
2. Related nondepository majority-owned subsidiaries in foreign countries .... 3032
3029
3031
1.
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
agency including its IBF ..................................................................................................................... 3195
2. Other real estate owned ..................................................................................................................... 2150
PART V: Derivatives and off-balance-sheet items: with related depository institutions.
1. Commitments to make or purchase loans..........................................................................................
2. Spot foreign exchange contracts........................................................................................................
3. Total standby letters of credit .............................................................................................................
4. Commercial and similar letters of credit .............................................................................................
5. Not applicable.
6. Credit derivatives:
a. Notional amounts:
(1) Credit default swaps .........................................................................
(2) Total return swaps .............................................................................
(3) Credit options ....................................................................................
(4) Other credit derivatives .....................................................................
b. Gross fair values:
(1) Gross positive fair value....................................................................
(2) Gross negative fair value ..................................................................
5766
A125
5770
5771
(Column A)
Guarantor
RCFD
Bil
Mil
1.
2.
1.
2.
3.
4.
(Column B)
Beneficiary
Thou
RCFD
Bil
Mil
Thou
G014
G016
G018
G020
G015
G017
G019
G021
6.a.(1)
6.a.(2)
6.a.(3)
6.a.(4)
C484
C487
C488
C489
6.b.(1)
6.b.(2)
Total Reporting
Branch or Agency
Including Its IBF
7. All other off-balance-sheet contingent liabilities greater than or equal to 1/2 percent of total claims RCFD
on related depository institutions as reported in Schedule M, Part I, Item 3, Column A .................... 8569
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
a. 8570
TEXT
8571
b. 8571
TEXT
8572
c. 8572
8. All other off-balance-sheet contingent claims (assets) greater than or equal to 1/2 percent of total
claims on related depository institutions as reported in Schedule M, Part I, Item 3, Column A ......... 8573
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
a. 8574
TEXT
8575
b. 8575
TEXT
8576
c. 8576
Bil
Mil
Thou
7.
7.a.
7.b.
7.c.
8.
8.a.
8.b.
8.c.
FFIEC 002
20
Schedule M (CONFIDENTIAL)—Continued
Dollar Amounts in Thousands
Derivatives
Position Indicators1
9. Gross amounts (e.g.,
notional amounts):
a. Futures contracts........
b. Forward contracts.......
c. Exchange-traded
option contracts:
(1) Written options .....
(2) Purchased options
d. Over-the-counter
option contracts:
(1) Written options .....
(2) Purchased options
e. Swaps.........................
10. Total gross notional
amount of derivative
contracts held for trading.
11. Total gross notional
amount of derivative
contracts held for
purposes other than
trading ............................
12. Gross fair values of
derivative contracts:
a. Contracts held for
trading:
(1) Gross positive fair
value ....................
(2) Gross negative
fair value ..............
b. Contracts held for
purposes other than
trading:
(1) Gross positive fair
value ....................
(2) Gross negative
fair value ..............
(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
A008
A038
A009
A039
A010
A040
A037
A041
9.a.
9.b.
A042
A046
A043
A047
A044
A048
A045
A049
9.c.(1)
9.c.(2)
A050
A054
A058
A051
A055
A059
A052
A056
A060
A053
A057
A061
9.d.(1)
9.d.(2)
9.e.
A062
A063
A064
A065
10.
A066
A067
A068
A069
11.
A074
A075
A076
A077
12.a.(1)
A078
A079
A080
A081
12.a.(2)
A082
A083
A084
A085
12.b.(1)
A086
A087
A088
A089
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
1. Total loans to U.S.
addressees (domicile):
a. Commercial and
industrial loans ...........
b. Loans secured by real
estate..........................
c. All other loans (including all lease financing
receivables) ................
2. Total loans to non-U.S.
addressees (domicile) .....
3. Total (sum of items 1.a
through 1.c and 2) ...........
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
1606
1607
1608
1609
1.a.
1421
1422
1423
1424
1.b.
3183
3184
3185
3186
1.c.
1623
1624
1625
1627
2.
1406
1407
1403
1404
3.
1629
1582
1637
M.1.
3530
M.2.
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
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 and 2, 4 through 6, Memorandum items 1 and 5, and, if applicable, item 3 and
Memorandum items 2 and 3 each quarter.
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
2. Total allowable exclusions, including interest accrued and unpaid on allowable exclusions
(including foreign deposits) ............................................................................................................ F237
RCFN
3. Total foreign deposits, including interest accrued and unpaid thereon (included in item 2
above)................................................................................................................................................ F234
1.
2.
3.
RCFD
4. Average consolidated total assets ................................................................................................. K652
Number
a. Averaging method used (for daily averaging, enter 1; for weekly
averaging, enter 2) ................................................................................ K653
5. Average tangible equity1.................................................................................................................. K654
6. Holdings of long-term unsecured debt issued by other FDIC-insured depository
institutions ........................................................................................................................................ K655
4.
4.a.
5.
6.
1. Tangible equity is defined as eligible assets (determined in accordance with Section 347.210 of the FDIC’s regulations) less the
book value of liabilities (exclusive of liabilities due to the foreign bank’s head office, other branches, agencies, offices, or wholly
owned subsidiaries).
Memoranda
Dollar Amounts in Thousands
Reporting Branch
Excluding Its IBF
RCON
1. Total deposit liabilities of the branch (including related interest accrued and unpaid) less
allowable exclusions (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
M.1.a.(1)
$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
M.1.a.(2)
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
M.1.b.(2)
(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.b.(1)
M.1.c.(1)
M.1.c.(2)
M.1.d.(1)
M.1.d.(2)
FFIEC 002
23
Schedule O—Continued
Dollar Amounts in Thousands
Reporting Branch
Excluding Its IBF
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 deposits in the branch, including related interest
accrued and unpaid.3 ......................................................................................................................... 5597
3. Preferred deposits (to be completed for the December report only) ............................................ 5590
4. Not applicable.
Bil
Mil
Thou
M.2.
M.3.
Memorandum items 5.a and 5.b are to be completed by all branches.
5. Noninterest-bearing transaction accounts (as defined in Section 343 of the Dodd-Frank
Act) of more than $250,000 (see instructions):
a. Amount of noninterest-bearing transaction accounts of more than $250,000...................... J944
Number
b. Number of noninterest-bearing transaction accounts of more than
J945
$250,000 .................................................................................................
M.5.a.
M.5.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, 2010,
Report of Assets and Liabilities of U.S. Branches and Agencies of Foreign Banks.
3. Uninsured deposits should be estimated based on the deposit insurance limits set forth in Memorandum items 1.a through 1.d and the
temporary unlimited insurance coverage on noninterest-bearing transaction accounts.
Schedule P—Other Borrowed Money
NOTE: Exclude all transactions with related depository institutions.
(Column B)
IBF Only
(Column A)
Total Reporting
Branch or Agency
Including Its IBF
Dollar Amounts in Thousands
1. Owed to nonrelated commercial banks in the U.S. (including their IBFs):
a. Owed to U.S. offices of nonrelated U.S. banks .......................................
b. Owed to U.S. branches and agencies of nonrelated foreign banks ........
2. Owed to nonrelated banks in foreign countries:
a. Owed to foreign branches of nonrelated U.S. banks...............................
b. Owed to foreign offices of nonrelated foreign banks ...............................
3. Owed to others .............................................................................................
RCFD
Bil
Mil
Thou RCFN
Bil
Mil
Thou
3312
3313
3312
3313
1.a.
1.b.
3314
3315
2869
3314
3315
2869
2.a.
2.b.
3.
RCXX
RCXY
4. Total (sum of items 1 through 3) (must equal Schedule RAL, item 4.c) ....... 3190
3190
Memorandum
1. Immediately available funds with a maturity greater than one day included RCFD
in other borrowed money ............................................................................. 2805
4.
M.1.
FFIEC 002
Schedule Q—Assets and Liabilities Measured at Fair Value on a Recurring Basis
24
Schedule Q is to be completed by branches and agencies that:
(1) Reported total assets of $500 million or more as of the preceding December 31; or
(2) Reported total assests of less than $500 million as of the preceding December 31 and either:
(a) Have elected to report financial instruments or servicing assets and liabilities at fair value under a fair value option with changes in fair value recognized in
earnings, or
(b) Reported trading assets of $2 million or more in any of the four preceding calendar quarters.
(Column A)
Total Fair Value
Reported on
Schedule RAL
Dollar Amounts in Thousands
ASSETS
1. Available-for-sale securities ................................
2. Federal funds sold and securities purchased
under agreements to resell .................................
3. Loans and leases held for sale ...........................
4. Loans and leases held for investment.................
5. Trading assets:
a. Derivative assets ............................................
RCXX
1773
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
G474
G475
G476
G477
1.
G479
G484
G489
G480
G485
G490
G481
G486
G491
G482
G487
G492
2.
3.
4.
G493
G494
G495
G496
5.a.
G497
G498
G499
G500
G501
5.b.
F240
G391
F684
G392
F692
G395
F241
G396
F242
G804
5.b.(1)
6.
G502
G502
G503
G503
G504
G504
G505
G505
G506
G506
7.
F686
F694
F253
F254
8.
G508
G509
G510
G511
9.
G512
G513
G514
G515
10.a.
G516
G521
G526
G805
G517
G522
G527
G806
G518
G523
G528
G807
G519
G524
G529
G808
G520
G525
G530
G809
10.b.
11.
12.
13.
G531
G532
G533
G534
G535
14.
RCFD
G478
G483
G488
RCXX
3543
RCFD
b. Other trading assets .......................................
(1) Nontrading securities at fair value
with changes in fair value reported in
current earnings (included in
Schedule Q, item 5.b above) ...................
6. All other assets....................................................
7. Total assets measured at fair value on a
recurring basis (sum of items 1 through
5.b plus item 6)....................................................
LIABILITIES
8. Deposits .............................................................. F252
9. Federal funds purchased and securities sold
under agreements to repurchase ........................ G507
RCXX
10. Trading liabilities:
a. Derivative liabilities ......................................... 3547
RCFD
11.
12.
13.
14.
b. Other trading liabilities ....................................
Other borrowed money .......................................
Subordinated notes and debentures ...................
All other liabilities ................................................
Total liabilities measured at fair value on a
recurring basis (sum of items 8 through 13)........
FFIEC 002
25
Schedule Q—Continued
(Column A)
Total Fair Value
Reported on
Schedule RAL
Dollar Amounts in Thousands
Memoranda
1. All other assets (itemize and describe
amounts included in Schedule Q, item 6,
that are greater than $25,000 and exceed
25% of item 6):
a. Mortgage servicing assets..............................
b. Nontrading derivative assets ..........................
TEXT
c. G546
TEXT
d. G551
TEXT
e. G556
TEXT
G561
f.
2. All other liabilities (itemize and describe
amounts included in Schedule Q,
item 13, that are greater than $25,000 and
exceed 25% of item 13):
a. Loan commitments (not accounted for
as derivatives) ................................................
b. Nontrading derivative liabilities .......................
TEXT
c. G571
TEXT
d. G576
TEXT
e. G581
TEXT
G586
f.
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
G536
G541
G546
G551
G556
G561
G537
G542
G547
G552
G557
G562
G538
G543
G548
G553
G558
G563
G539
G544
G549
G554
G559
G564
G540
G545
G550
G555
G560
G565
M.1.a.
M.1.b.
M.1.c.
M.1.d.
M.1.e.
M.1.f.
F261
G566
G571
G576
G581
G586
F689
G567
G572
G577
G582
G587
F697
G568
G573
G578
G583
G588
F262
G569
G574
G579
G584
G589
F263
G570
G575
G580
G585
G590
M.2.a.
M.2.b.
M.2.c.
M.2.d.
M.2.e.
M.2.f.
FFIEC 002
Schedule S—Servicing, Securitization and Asset Sale Activities
(Column A)
1–4 Family
Residential
Loans
Dollar Amounts in Thousands
Securitization Activities
1. Outstanding principal balance of
assets sold and securitized by the
reporting institution with servicing
retained or with recourse or other
seller-provided credit enhancements ...
2. Maximum amount of credit exposure
arising from recourse or other sellerprovided credit enhancements
provided to structures reported in
item 1 in the form of:
a. Retained interest-only strips
(included in Schedule RAL) .............
b. Subordinated securities and
other residual interests ....................
c. Standby letters of credit and
other enhancements........................
3. Reporting institution’s unused
commitments to provide liquidity to
structures reported in item 1 ................
4. Past due loan amounts included in
item 1:
a. 30–89 days past due .......................
b. 90 days or more past due................
5. Not applicable.
6. Amount of ownership (or seller’s)
interests carried as:
a. Securities (included in
Schedule RAL) ................................
b. Loans (included in
Schedule C).....................................
7. Past due loan amounts included in
interests reported in item 6.a:
a. 30–89 days past due .......................
b. 90 days or more past due................
8. Not applicable.
Bil
Mil
Thou
RCFD B705
(Column B)
Home
Equity
Lines
Bil
Mil
Thou
RCFD B706
(Column C)
Credit
Card
Receivables
Bil
Mil
Thou
RCFD B707
26
(Column D)
Auto
Loans
Bil
Mil
RCFD B708
Thou
(Column E)
Other
Consumer
Loans
Bil
Mil
Thou
RCFD B709
(Column F)
Commercial
and Industrial
Loans
Bil
Mil
Thou
RCFD B710
(Column G)
All Other
Loans, All
Leases, and All
Other Assets
Bil
Mil
Thou
RCFD B711
1.
RCFD B712
RCFD B713
RCFD B714
RCFD B715
RCFD B716
RCFD B717
RCFD B718
RCFD C393
RCFD C394
RCFD C395
RCFD C396
RCFD C397
RCFD C398
RCFD C399
RCFD C400
RCFD C401
RCFD C402
RCFD C403
RCFD C404
RCFD C405
RCFD C406
2.a.
2.b.
2.c.
RCFD B726
RCFD B727
RCFD B728
RCFD B729
RCFD B730
RCFD B731
RCFD B732
3.
RCFD B733
RCFD B734
RCFD B735
RCFD B736
RCFD B737
RCFD B738
RCFD B739
RCFD B740
RCFD B741
RCFD B742
RCFD B743
RCFD B744
RCFD B745
RCFD B746
4.a.
4.b.
RCFD B761
RCFD B762
RCFD B763
RCFD B500
RCFD B501
RCFD B502
6.a.
6.b.
RCFD B764
RCFD B765
RCFD B766
RCFD B767
RCFD B768
RCFD B769
7.a.
7.b.
FFIEC 002
Schedule S—Continued
27
(Column A)
1–4 Family
Residential
Loans
Dollar Amounts in Thousands
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
of credit, purchased subordinated
securities, and other enhancements ....
10. Reporting institution’s unused
commitments to provide liquidity to
other institutions’ securitization
structures .............................................
Asset Sales
11. Assets sold with recourse or other
seller-provided credit enhancements
and not securitized by the reporting
institution ..............................................
12. Maximum amount of credit exposure
arising from recourse or other sellerprovided credit enhancements provided to assets reported in item 11 ......
Memorandum
Bil
Mil
Thou
RCFD B776
(Column B)
Home
Equity
Lines
Bil
Mil
Thou
RCFD B777
(Column C)
Credit
Card
Receivables
Bil
Mil
Thou
RCFD B778
(Column D)
Auto
Loans
Bil
Mil
RCFD B779
Thou
(Column E)
Other
Consumer
Loans
Bil
Mil
Thou
RCFD B780
(Column F)
Commercial
and Industrial
Loans
Bil
Mil
Thou
(Column G)
All Other
Loans, All
Leases, and All
Other Assets
Bil
RCFD B781
Mil
Thou
RCFD B782
9.
RCFD B783
RCFD B784
RCFD B785
RCFD B786
RCFD B787
RCFD B788
RCFD B789
10.
RCFD B790
RCFD B791
RCFD B792
RCFD B793
RCFD B794
RCFD B795
RCFD B796
11.
RCFD B797
RCFD B798
RCFD B799
RCFD B800
RCFD B801
RCFD B802
RCFD B803
12.
Dollar Amounts in Thousands
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 ..........................................................................................................
(2) Conduits sponsored by other unrelated institutions .....................................................................................................................................
b. Unused commitments to provide liquidity to conduit structures:
(1) Conduits sponsored by the reporting institution or related institution ..........................................................................................................
(2) Conduits sponsored by other unrelated institutions .....................................................................................................................................
RCFD
B806
B807
B808
B809
Bil
Mil
Thou
M.1.a.(1)
M.1.a.(2)
M.1.b.(1)
M.1.b.(2)
FFIEC 002
28
Schedule T—Fiduciary and Related Services
Schedule T is to be completed annually as of the December 31 report date.
RCFD
Yes
No
1. Does the institution have fiduciary powers? (If “NO,” do not complete Schedule T.) ......................... A345
RCFD
1.
Yes
No
2. Does the institution exercise the fiduciary powers it has been granted? .......................................... A346
RCFD
3. Does the institution have any fiduciary or related activity (in the form of assets or accounts)?
(If “NO,” do not complete the rest of Schedule T.).............................................................................. B867
2.
Yes
No
3.
If the answer to item 3 is “YES,” complete all applicable items of Schedule T.
(Column A)
Managed
Assets
Dollar Amounts in Thousands
FIDUCIARY AND RELATED ASSETS
4. Personal trust and agency accounts ............
5. Retirement related trust and agency
accounts:
a. Employee benefit—defined contribution..
Tril
Bil
Mil
RCFD B868
Thou Tril
(Column B)
Non-Managed
Assets
Bil
Mil
RCFD B869
(Column C)
Number of
Managed
Accounts
(Column D)
Number of
Non-Managed
Accounts
RCFD B870
RCFD B871
Thou
4.
RCFD B872
RCFD B873
RCFD B874
RCFD B875
RCFD B876
RCFD B877
RCFD B878
RCFD B879
RCFD B880
RCFD B881
RCFD B882
RCFD B883
RCFD B884
RCFD B885
RCFD C001
RCFD C002
5.a.
b. Employee benefit—defined benefit .........
5.b.
c. Other retirement accounts .......................
5.c.
6. Corporate trust and agency accounts ..........
6.
RCFD B886
RCFD B888
7. Investment management agency accounts..
8. Other fiduciary accounts ..............................
9. Total fiduciary accounts
(sum of items 4 through 8) ...........................
7.
RCFD B890
RCFD B891
RCFD B892
RCFD B893
RCFD B894
RCFD B895
RCFD B896
RCFD B897
8.
9.
RCFD B898
10. Custody and safekeeping accounts .............
RCFD B899
10.
FFIEC 002
29
Schedule T—Continued
Memoranda
Managed Assets
Dollar Amounts in Thousands
RCFD
Bil
Mil
Thou
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
Dollar Amounts in Thousands
RCFD
(Column B)
Principal Amount
Outstanding
Tril
Bil
Mil
Thou
RCFD B928
M.2.a.
M.2.b.
(Column A)
Number of
Funds
Dollar Amounts in Thousands
(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
RCFD B945
RCFD B946
Thou
M.3.a.
b. International/Global equity................................................................................
M.3.b.
c. Stock/Bond blend .............................................................................................
M.3.c.
d. Taxable bond ....................................................................................................
M.3.d.
e. Municipal bond .................................................................................................
M.3.e.
f. Short term investments/Money market.............................................................
g. Specialty/Other .................................................................................................
h. Total collective investment funds (sum of Memorandum items 3.a
through 3.g) ......................................................................................................
Thou
M.1.l.
2. Corporate trust and agency accounts:
a. Corporate and municipal trusteeships .............................................................. B927
b. Transfer agent, registrar, paying agent, and other corporate agency .............. B929
3. Collective investment funds and common trust funds:
a. Domestic equity ................................................................................................
Mil
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) ..........................................
(Column A)
Number of
Issues
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.
M.3.f.
M.3.g.
M.3.h.
FFIEC 002
30
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 Title | 002_Sep11_contact-info_sched-ral_A_C_E_K_L_M_N_O_P.indd |
| Author | m1jap02 |
| File Modified | 2011-12-07 |
| File Created | 2011-09-15 |