SHLA -- Schedule 1 SHLA -- Schedule 1, Schedule 2

OMB NO. 1505-0123
Approval Expires: 6/30/2014
MANDATORY ANNUAL REPORT TO THE FEDERAL RESERVE BANK OF NEW YORK

FOREIGN-RESIDENTS’ HOLDINGS OF
U.S. SECURITIES,
INCLUDING SELECTED MONEY MARKET
INSTRUMENTS (SHLA)
As of the last day of June

Mandatory Report
Response Required By Law
(22 U.S.C. 3101 et seq.)

Department of the Treasury
Federal Reserve Bank of New York
Board of Governors of the Federal Reserve System
June 8, 2010

TABLE OF CONTENTS

I. INTRODUCTION
A. PURPOSE
B. AUTHORITY
C. CONFIDENTIALITY OF DATA REPORTED
D. PENALITIES FOR FAILURE TO REPORT
E. PAPERWORK REDUCTION ACT NOTICE

Page
1-3
1
1
2
2
2

II. GENERAL INSTRUCTIONS
A. WHO MUST REPORT
B. CONSOLIDATION RULES
C. REPORTING DATES
D. SUBMISSION INSTRUCTIONS AND CONTACT INFORMATION

4-7
4
5
5
5

III. WHAT SECURITIES MUST BE REPORTED
A. FOREIGN-RESIDENT OWNERSHIP
B. REPORTABLE U.S. SECURITIES
C. DO NOT REPORT
D. ASSET-BACKED SECURITIES
E. FUNDS AND RELATED EQUITY OWNERSHIP
F. SECURITIES INVOLVED IN REPURCHASE AND SECURITIES LENDING
ARRANGEMENTS
G. STRIPPED SECURITIES
H. U.S. GOVERNMENT AGENCIES OR FEDERALLY SPONSORED ENTERPRISES
I. DIRECT INVESTMENT
J. SECURITIES HELD BY U.S. CENTRAL SECURITIES DEPOSITORIES
K. LIMITED PARTNERSHIPS
L. ACCOUNTING RULES, VALUATION OF SECURITIES, AND
CALCULATION OF U.S. DOLLAR VALUES
M. DATA RETENTION PERIOD
N. REVIEW OF DATA AND REQUEST FOR REVISED DATA

8-18
8
9
10
11
11
14

IV.

LINE-BY-LINE INSTRUCTIONS FOR SCHEDULE 1-REPORTER
CONTACT INDENTIFICATION AND SUMMARY OF FINANCIAL
INFORMATION

19-21

V.

LINE-BY-LINE INSTRUCTIONS FOR SCHEDULE 2-DETAILS OF
SECURITIES

22-27

i

14
15
15
16
16
16
17
18

APPENDICES
A. SAMPLE REPORTING SCHEDULES
SCHEDULE 1- REPORTER CONTACT IDENTIFICATION AND SUMMARY OF
FINANCIAL INFORMATION

B. FLOWCHARTS
SHOWING REPORTING RESPONSIBILITY
DETERMINING REPORTABLE SECURITIES

28-33
Schedule
Schedule
Schedule
Schedule
Schedule
34-37
35-36
37

C.
D.
E.
F.
G.
H.
I.

38-42
43-45
46-61
62-64
65-73
74-86
87-88

SCHEDULE 2- DETAILS OF SECURITIES

LIST OF COUNTRY CODES
LIST OF INTERNATIONAL AND REGIONAL ORGANIZATIONS
LIST OF FOREIGN OFFICIAL INSTITUTIONS
LIST OF CURRENCY CODES
GLOSSARY
TECHNICAL INFORMATION FOR ELECTRONIC SUBMISSION
LIST OF FEDERAL AGENCIES AND FEDERALLY SPONSORED ENTERPRISES

ii

1,
1,
1,
2,
2,

Page
Page
Page
Page
Page

1
2
3
1
2

of
of
of
of
of

3
3
3
2
2

I. INTRODUCTION
A. PURPOSE
The Department of the Treasury, with the assistance of the Board of Governors of the Federal Reserve
System and the Federal Reserve Bank of New York (FRBNY), is conducting a mandatory annual survey of
holdings of U.S. securities, including selected money markets instruments, by foreign residents as of June
30 of each year. The data will be collected by the FRBNY, acting as fiscal agent for the Department of the
Treasury. The data collected will be used by the U.S. Government in the computation of the U.S. balance
of payments accounts and the U.S. international investment position, and in the formulation of
international economic and financial policies. These data also will be used to provide aggregate
information to the public on these foreign portfolio investments and to meet international reporting
commitments.
In order to reduce reporting burden and costs to the government, there will be a substantial reduction in
the number of reporters in four out of every five years. A benchmark survey (Form SHL) of all significant
U.S.-resident custodians and issuers will continue to be held approximately every five years. In nonbenchmark years, the annual survey (Form SHLA) will require reports from only the very largest U.S.resident custodians and issuers. The data reported under these annual surveys (Form SHLA) will be used
in conjunction with the results of the previous benchmark survey to compute estimates for the nonbenchmark years. The next full Benchmark survey will be as of June 30, 2014.
The determination of who must report on the annual reports (Form SHLA) will be based upon the data
submitted during the previous benchmark survey. Designated U.S.-resident custodians and issuers will be
required to file detailed security data on Schedule 2, in the same manner as they did on the June 30,
2009 benchmark survey.

B. AUTHORITY
This mandatory survey is conducted under the authority of the International Investment and Trade in

Services Survey Act (22 U.S.C. 3101 et seq., [the Act] ) and Executive Order 11961 of January 19, 1977.
The Act specifies that the President has the authority to conduct a regular data collection program,
including such studies and reports as may be necessary and feasible, to secure current information on
1

international investment, including (but not limited to) such information as may be necessary for
computing and analyzing the balance of payments accounts and the international investment position of
the United States (22 U.S.C. 3103). In Executive Order 11961 §2, the President designated the Secretary
of the Treasury to be responsible for collecting data on portfolio investment required by the Act.

C. CONFIDENTIALITY OF DATA REPORTED
The information collected by this survey may be used only for analytical and statistical purposes and to
enforce the Act. Access to the information is available only to officials and employees (including
consultants and contractors and their employees) designated to perform functions under the Act. Persons
having access to individual company information submitted pursuant to the Act are subject to penalties
for unauthorized disclosure (22 U.S.C. §3104 and 18 U.S.C. §1905). The results of this survey will be
made available to the general public at an aggregated level so that neither the U.S. persons or
organizations providing information nor individual or organizational ownership of U.S. securities can be
identified.
D. PENALTIES FOR FAILURE TO REPORT
Reporting as directed in this package is mandatory for any U.S.-resident person or entity subject to the
reporting requirements set forth in the report instructions. Failure by an entity to provide timely and
accurate data can result in a civil penalty of not less than $2,500 and not more than $25,000, or
injunctive relief ordering such person to comply, or both (22 U.S.C. §3105 (a) and (b)).
Willfully failing to submit any required information under the Act can result in a fine of not more than
$10,000; and, if an individual, may result in imprisonment for not more than a year, or both. Any officer,
director, employee or agent who knowingly participates in such violation, upon conviction, may be
punished by a like fine, imprisonment, or both (22 U.S.C. §3105 (c)).
E. PAPERWORK REDUCTION ACT NOTICE
This report titled “Foreign Holdings of U.S. Securities, Including Selected Money Market Instruments” in
the Federal Register Notice of (need to add date when known) has been reviewed and approved by the
Office of Management and Budget in accordance with the Paperwork Reduction Act of 1995 and assigned
OMB Control Number 1505-0123. The purpose is to collect accurate and complete data that will enable
2

the Treasury Department to fulfill its responsibility under the Act. The estimated average burden
associated with this collection of information is 486 hours per report for each U.S.-resident custodian
reporting detailed information on Schedule 2, and 110 hours per report for each U.S.-resident issuer of
U.S. securities providing detailed information on Schedule 2. The amount of time required to complete
the report will vary depending on the amount of data to report. Comments concerning the accuracy of
these burden estimates and suggestions for reducing the reporting burden should be directed to:
Administrator, International Portfolio Investment Data Systems
U.S. Department of the Treasury
1500 Pennsylvania Avenue NW, Room 5422 MT
Washington, DC 20220
or
The Office of Management and Budget
Paperwork Reduction Project (1505-0123)
Washington, DC 20503
No person is required to respond to any U.S. Government collection of information unless it displays a
currently valid OMB control number.

3

II. GENERAL INSTRUCTIONS
A. WHO MUST REPORT
1. All U.S.-resident entities that been contacted by the Federal Reserve Bank of New York
must report, regardless of the size of their consolidated holdings
Reporters are generally determined by including those institutions that collectively report at least 95
percent of the market value of foreign holdings as measured by the preceding TIC SHL report.
Types of reporting entities include U.S.-resident custodians (including U.S.-resident central securities
depositories) and U.S.-resident issuers. Entities that provide multiple services (i.e., provide custodial
services and issue securities) should report securities that meet the reporting criteria for each role and
ensure that securities are not double counted.
•

U.S.-resident custodians, including brokers and dealers, must report all U.S. securities they
hold in custody (or manage the safekeeping of) for the account of foreign residents (including their
own foreign branches, subsidiaries, and affiliates). These securities must be reported by the U.S.resident custodian even if the securities are in turn held at DTC, Euroclear, or another central
securities depository, since the central securities depository knows only that it is holding securities on
behalf of the U.S.-resident custodian, whereas the U.S.-resident custodian knows that it is holding
these securities on behalf of a foreign resident. However, if a U.S.-resident custodian uses a U.S.resident sub-custodian, the custodian should report if (and only if), it does not maintain separate
accounts at and disclose the clients to the sub-custodian. (If the custodian does maintain separate
accounts at and disclose the clients to the sub-custodian, it should not report, to prevent double
counting.)

•

U.S.-resident central securities depositories, must report all U.S. securities they hold in custody
(or manage the safekeeping of) directly on behalf of foreign residents with which they have
established direct relationships, including foreign-resident brokers, dealers, exchanges, and central
securities depositories.

•

U.S.-resident issuers, must report all securities issued by U.S.-resident units , which are:
1. owned by foreign residents for which neither a U.S.-resident custodian nor a U.S. resident
central securities depository is used. Transfer or paying agents should be able to provide the U.S.resident issuer with this information;
2. in book entry form that are held at a foreign-resident central securities depository; or
3. bearer securities.

4

Please refer to Section III, What Securities Must Be Reported, to identify reportable U.S. securities.
B. CONSOLIDATION RULES
U.S.-resident organizations, including bank holding companies (BHC) and financial holding companies
(FHC), should include all reportable securities for all U.S.-resident parts of their organization, including all
U.S.-resident branches and subsidiaries. U.S. residents include entities located in the Commonwealth of
Puerto Rico and the U.S. territories. Please see Appendix G for the complete definition of United States.
It is the responsibility of the U.S. parent entity in each organization to ensure that its report includes all
applicable entities within its organization.
Securities issued by U.S.-resident trusts and special purpose entities (SPEs) for which the reporter is the
trustee or primary beneficiary should be included. Shares of U.S.-resident funds that are managed by the
reporting entity should be included unless a U.S.-resident custodian other than the reporting entity is
used.
U.S. branches and agencies of a foreign bank located in the same state and within the same Federal
Reserve District should submit a consolidated report for these offices. U.S. branches and agencies of a
foreign bank that are located in either different states or different Federal Reserve Districts, should submit
separate reports.
C. REPORTING DATES
Report data as of the last business day of June. All data should be submitted to the Federal Reserve
Bank of New York no later than the last business day of August.
D. SUBMISSION INSTRUCTIONS AND CONTACT INFORMATION
If your organization is submitting 200 or more Schedule 2 records, the Schedule 2 data must be
submitted electronically. The format for submitting Schedule 1 data is dependent on how the Schedule 2
data are submitted.
Option 1:
•

Submit both Schedules 1 and 2 data using the Federal Reserve System’s Internet Electronic
Submission (IESUB) system. IESUB is fast, easy to use and secure. IESUB provides a confirmation of
data receipt at the Federal Reserve Bank of New York and performs a number of validity checks of
5

your file format. For more information on how to submit data using the IESUB system, contact the
SHL staff at 212-720-6300 or at [email protected]. Alternatively, additional information and an
application to register for IESUB can be obtained at: http://www.treasury.gov/resource-center/
data-chart-center/tic/Pages/forms-sh.aspx.
Completed applications should be sent to:
Federal Reserve Bank of New York
Statistics Function, 4th Floor
33 Liberty Street
New York, NY 10045-0001
or faxed to 1-212-720-2598
Option 2:
• Submit Schedule 2 data on compact disk(s) CD(s) in the format specified in Appendix H. Schedule 1
must be filed on paper and must be submitted in the same package as the Schedule 2 data.
If your organization is submitting less than 200 Schedule 2 records, these records may be submitted using
the IESUB system on CD(s) using the format specified in Appendix H or on paper, using the form
contained in Appendix A.
Reports and CDs can be mailed or sent by courier to:
Federal Reserve Bank of New York
Statistics Function, 4th Floor
33 Liberty Street
New York, NY 10045-0001

Please contact FRBNY staff with questions pertaining to the report or if any of the following conditions
apply:
1. Your entity requires additional time to complete your report.
2. Your entity received a copy of the report booklet and is not the U.S. parent entity in your organization.
3. Your entity cannot submit a single report for its entire organization.
4. Your reporter contact information or technical contact information changes after you submit your
Schedule 1 report.

6

FRBNY staff can be reached at:
• Phone:

212-720-6300 or 646-720-6300

• Email:

[email protected]

Additional copies of the reporting forms and instructions may be printed from the Internet at:
http://www.treasury.gov/resource-center/data-chart-center/tic/Pages/forms-sh.aspx

7

III. WHAT SECURITIES MUST BE REPORTED
This report collects information on securities issued by U.S.-residents that are owned by foreign residents,
including U.S. equities, U.S. short-term debt securities (including selected money market instruments),
U.S. long-term debt securities, and U.S. asset-backed debt securities.
Reportable securities may be traded or issued in the United States or in foreign countries, and may be
denominated in any currency. Neither the country in which the securities are traded or issued, nor the
currency in which the securities are denominated, is relevant in determining whether the securities are
reportable. Securities held as part of a direct investment relationship should not be reported. (See
Section III.I.)
A. FOREIGN-RESIDENT OWNERSHIP
Securities are considered to be foreign owned if, according to the reporter's records, the holder of record
is not a resident of the United States. In addition, all outstanding bearer bonds should be assumed to be
owned by foreign residents and reported by the U.S.-resident issuer. Bearer bonds should also be
reported by U.S.-resident custodians, but only if the reporter’s records indicate a foreign-resident owner
(or foreign-resident custodian).
The following are considered to be foreign residents:
•

Residents of foreign countries, including foreign-resident custodians and foreign-resident central
securities depositories. (These include residents of Canada, Mexico, and offshore centers.)

•

International organizations with extra-territorial status (even if located in the United States), such as
the International Bank for Reconstruction and Development (World Bank), the International Monetary
Fund (IMF) and the Inter-American Development Bank. 1

(See Appendix D for a complete list of

these organizations.)
•

Foreign subsidiaries of U.S. entities and foreign-resident branches of U.S. banks.

•

Offshore and other non-U.S. funds.

•

Entities or individuals that file an IRS Form W-8, indicating that they are foreign residents. Please note
that there may be exceptions (such as Puerto Rico). However, if an IRS Form is not available, the
mailing address can be used to determine residency.

1

Pension plans of international and regional organizations, if located in the United States, are U.S.-resident entities;
therefore, any securities owned by these pension plans should be excluded from this report.
8

B. REPORTABLE U.S. SECURITIES
U.S. securities are securities issued by U.S.-resident entities, with the exception of Depositary Receipts
(DRs) that are backed by foreign securities and securities issued by international organizations that have
extra-territorial status, such as the World Bank and the Inter-American Development Bank. U.S. securities
can be issued in any country, denominated in any currency, and traded on any exchange.
U.S.-resident entities include U.S.-resident branches of foreign banks and U.S.-resident subsidiaries of
foreign companies. Securities issued by foreign branches or subsidiaries of U.S. entities are not U.S.
securities unless, due to merger, reorganization, or default, a U.S.-resident entity assumes direct
responsibility for the payment of a previously foreign security.
Reportable securities include:
Equity Securities
•

Common stock

•

Preferred stock (participating and nonparticipating preference shares)

•

Restricted stock

•

U.S.-resident fund shares (open-end and closed-end), REITS, money market mutual funds, indexlinked equity securities including unit investment trusts (including SPDRs, DIAMONDs, etc.)

•

All other equity, including shares or units of ownership in unincorporated business enterprises, such as
limited partnerships

Debt Securities
•

Debt, registered and bearer, including bonds and notes (unstripped and stripped) and bonds with
multiple call options

•

Convertible debt and debt with attached warrants

•

Zero-coupon debt and discount notes

•

Index-linked debt securities (e.g., property index certificates)

•

Commercial paper (including asset-backed commercial paper)

•

Bankers' acceptances and trade acceptances

•

Negotiable certificates of deposit, bank notes, and deposit notes

•

Notes, including those issued under note issuance facilities and revolving underwriting facilities,
9

medium-term notes, promissory notes, deep-discounted, currency-linked (e.g., dual-currency),
floating rate notes (FRN), such as perpetual notes (PRN), variable rate notes (VRN), structured FRN,
reverse FRN, collared FRN, step up recovery FR (SURF), and range/corridor/accrual notes
•

Asset-backed securities (see Section III.D)

•

All other long-term and short-term debt securities
(Note: U.S. debt securities that are still outstanding as of June 30 should be reported even if

the maturity date has passed.)
C. DO NOT REPORT
Do not report any:
•

Derivative contracts (including futures, forwards, swaps, options and warrants) meeting the definition
of a derivative under FAS 133. Embedded derivatives that are not bifurcated under FAS 133 should be
included in the value of the host contract. However, if an embedded derivative is bifurcated the
derivative should be excluded from the report.

•

Securities which have been temporarily received as collateral under resale agreements or similar
financing agreements (see Section III.F)

•

Loans and loan participation certificates

•

Letters of credit

•

Non-negotiable certificates of deposit

•

Bank deposits, including time (except for negotiable CDs) and demand deposits

•

Annuities, including variable rate annuities

•

Foreign securities, including :
1. Depositary receipts (DRs) backed by foreign securities, including ADRs (American Depositary
Receipts), ADSs (American Depositary Shares), GDRs (Global Depositary Receipts), and IDRs
(International Depositary Receipts).
2. Securities issued by international and regional organizations with extra-territorial status, such as
the International Bank for Reconstruction and Development (IBRD or World Bank) or the InterAmerican Development Bank (IDB). (See Appendix D for a list of these organizations.)
3. Securities issued in the United States by foreign-resident entities (e.g., Canadian or Mexican
entities), even if they are denominated in U.S. dollars and traded on U.S. securities exchanges.
4. Securities issued by foreign subsidiaries of U.S. entities (e.g., GMAC Canada) or foreign branches
of U.S. banks, even if they are guaranteed by the U.S. parent company, or issued in the United
10

States.
5. Securities issued by foreign-resident entities under Section 144A of the SEC Act.
6. Securities issued by corporations that were incorporated outside of the United States by the report
as of date, including companies incorporated offshore in countries such as the Cayman Islands and
Bermuda.

D. ASSET-BACKED SECURITIES
Asset-backed securities (ABS) are securitized interests in a pool of assets, which give the purchaser a
claim against the cash flows generated by the underlying assets. Securities backed by revolving credits,
such as pools of credit card receivables, are reported as ABS if the return to the owner is based upon
these credits, (i.e., the credits do not merely serve as collateral). Foreign-owned ABS should be reported
if the issuer securitizing the assets is a U.S. resident. The underlying asset should not be used to
determine if the ABS are reportable.
Include as ABS all collateralized mortgage obligations (CMOs), collateralized bond obligations (CBOs),
collateralized loan obligations (CLOs), collateralized debt obligations (CDOs), and other securities backed
by pools of:
•

mortgages;

•

credit card receivables;

•

automobile loans;

•

consumer and personal loans;

•

commercial and industrial loans and other whole loans; and

•

other assets.

E. FUNDS AND RELATED EQUITY OWNERSHIP
1. Report foreign-residents’ ownership of shares/units of funds and investment trusts legally established
in the United States (U.S.-resident funds) as equity securities. All foreign-residents’ ownership of U.S.resident fund shares should be assigned security type = 3 (fund shares), and not categorized as a debt
security, regardless of the types of securities held by the fund.
For purposes of this report, funds include all investment vehicles that pool investors’ money and invest
11

the pooled money in one or more of a variety of assets. Funds include, but are not limited to:
•

mutual funds (including both open-end and closed-end mutual funds);

•

money market funds;

•

investment trusts;

•

index-linked funds;

•

exchange-traded funds (ETFs);

•

hedge funds; and

•

common trust funds.

The determination of whether a fund’s shares are a U.S. security is based on the country in which the
fund is legally established, not based on the residence of the issuers of the securities the fund purchases.
For example, if a foreign resident owns shares in a fund organized in New York, these shares are
reportable U.S. securities, whether or not the fund purchases foreign securities. Conversely, foreignresident ownership of shares of “offshore” or other foreign-resident funds that purchase U.S. securities
should not be reported.
Many funds established outside of the United States have names that are similar to U.S.-resident fund
names. This often occurs when the fund is managed by a group that also manages many U.S.-resident
funds and therefore may be thought of as managing only U.S.-resident funds. If there is doubt as to
whether the investment should be classified as a fund or whether a fund is U.S. or foreign, please contact
FRBNY staff at 212-720-6300 or 646-720-6300.
2. Report the ownership of U.S. securities by foreign-resident funds.
Although ownership of shares of foreign-resident funds are excluded from this report, any U.S. securities
owned by foreign-resident funds for their portfolio are reportable. These are distinct investments and,
therefore, are not duplicate reporting. U.S. securities owned by foreign-resident funds should be
classified as either equity, debt, or asset-backed securities, as indicated in Section III.B.
3. Reporting guidelines for Hedge Funds and other alternative investments
Investment advisors, managers or similar types of legal entities that create master and
feeder funds both outside and inside the U.S. should report as follows:
1. . Investments between the U.S. and foreigner entities (affiliates) that the investment manager
establishes, is portfolio investment and should be reported on this report.
12

Example 1
A U.S. investment manager creates a U.S. Master Fund, a Cayman Feeder Fund, and a U.S.
Feeder Fund. The investments between the manager and the foreign feeder funds are direct
investments. However, the investment that the foreign feeder fund has in the master fund is
portfolio investment and should be reported in the TIC system. Purchase and sales of the master
fund shares by the foreign feeder fund should be reported on the TIC S by the U.S. based master
fund and the master fund should report the ownership of their “shares” by the foreign feeder
funds as issuer of the “domestic security” on the TIC SHL (A) report. If a U.S. custodian is
involved in the holding the “domestic security” then the reporting responsibility would be on the
U.S. custodian to report on the TIC SHL (A).
Example 2
A foreign hedge fund creates a U.S. based Master Fund, a Cayman Feeder Fund, and a
U.S. Feeder Fund. The investments between the hedge fund and the U.S. feeder funds are direct
investments. However, the investment that the foreign feeder fund has in the master fund is
portfolio investment and should be reported in the TIC system. Purchase and sales of the master
fund shares by the foreign feeder fund should be reported on the TIC S by the U.S. based master
fund and the master fund should also report the ownership of their “shares” by the foreign feeder
funds as issuer of the “domestic security” on the TIC SHL (A) report. If a U.S. custodian is
involved in the holding the “domestic security” then the reporting responsibility would be on the
U.S. custodian to report on the TIC SHL (A).
2. Exclude any investment between the entity that formed the funds (as a general partner) and
all the entities it creates. These are direct investment and should be reported to the Bureau of
Economic Analysis
Note: The descriptions of the various examples are based on common master/feeder fund structures. It is
possible for there to be different types of structures when creating these funds and they may be called
different names by some entities. Ultimately, if the investment is not Direct Investment then it will fall into
the category of portfolio investment and needs to be reported as part of the TIC system.

13

F. SECURITIES INVOLVED IN REPURCHASE AND SECURITIES LENDING ARRANGEMENTS
A repurchase agreement (repo) is an arrangement involving the sale of securities at a specified price with
a commitment to repurchase the same or similar securities at a specified price on a future date. A
reverse repo is an agreement whereby a security is purchased at a specified price with a commitment to
resell the same or similar securities at a specified price on a specified future date. Securities
lending/borrowing arrangements are agreements whereby the ownership of a security is transferred in
return for collateral, usually another security or cash, under condition that the security or similar security
will revert to its original owner at a future date.
Securities "sold" by foreign residents under repurchase agreements or buy/sell back agreements, lent
under securities lending arrangements, or delivered out as collateral as part of a reverse repurchase
agreement or security borrowing agreement should be reported as if the securities were continuously held
by the foreign resident. That is, the security lender’s U.S. custodian should report the U.S. security as if
no repurchase agreement or buy/sell back agreement occurred.
Securities temporarily acquired by foreign residents as collateral under reverse repurchase agreements,
securities lending or borrowing arrangements, or buy/sell back agreements should NOT be reported. That
is, the security borrower’s U.S. custodian should exclude the U.S. security as if no resale agreement or
buy/sell back agreement occurred.
However, if cash was temporarily received as collateral and was used to purchase securities, those
securities should be reported.
G. STRIPPED SECURITIES
Separate Trading of Registered Interest and Principal Securities (STRIPS) and other similar instruments
are securities that have been transformed from a principal amount with periodic interest coupons into a
series of zero-coupon securities, with the range of maturities matching the coupon payment dates and the
redemption date of the principal amount.
The residency of the STRIPS and similar instruments is the residence of the entity that issued the stripped
security. However, the type of issuer of STRIPS and similar instruments is based upon the type of issuer
of the underlying security. For example, U.S. Treasury STRIPS should be classified as U.S. Treasury
securities even though the Treasury does not issue or sell STRIPS directly to investors. In addition, all
14

CATS, TIGRS, COUGARS, and LIONS should also be classified as U.S. Treasury securities.
Foreign holdings of stripped securities where the underlying security is not an ABS, both the interest-only
(IO) component and the principal-only (PO) component, should be reported as security type = 10 (bond
or note, stripped).
Foreign holdings of stripped securities where the underlying security is an ABS, tranches of stripped ABS,
any IO component, and any PO component, should be reported as security type = 12 (asset-backed
security).
H. U.S. GOVERNMENT AGENCIES OR FEDERALLY SPONSORED ENTERPRISES
Securities that are issued by U.S. government agencies or federally sponsored enterprises and owned by
foreign residents are reportable. In addition, foreign owned securities that are issued by a U.S.-resident
entity and guaranteed by U.S. government agencies or federally sponsored enterprises are reportable.
For purposes of Schedule 2, item 9 (type of issuer), all these securities should be coded as type 2
(agencies). For example, securities that are guaranteed by the Government National Mortgage
Association (GNMA) or the Small Business Administration (SBA) should be reported as U.S. government
agency securities.
I. DIRECT INVESTMENT
A direct investment relationship exists when a U.S. company owns 10% or more of the voting equity
securities of an incorporated foreign business (or an equivalent interest in an unincorporated foreign
business, including a branch), or when a foreign company owns 10% or more of the voting equity
securities of an incorporated U.S. business (or an equivalent interest in an unincorporated U.S. business,
including a branch). Limited partners in a limited partnership do not have voting rights and therefore
cannot have direct investment. (See Section III.K) If a direct investment relationship exists, then in
general, all financial positions between the firms are considered direct investment. If a direct investment
relationship exists between non-banking entities, all securities held by the parent entity that were issued
by the affiliate of the parent are considered direct investment. However, if one of the entities is a
banking or securities brokerage firm, the inter-company holdings are considered direct
investment only if they provide permanent capital. All holdings known to be direct investment
should be excluded from this report.

15

J. SECURITIES HELD BY U.S. CENTRAL SECURITIES DEPOSITORIES
U.S.-resident central securities depositories must report all U.S. securities they are holding in custody (or
managing the safekeeping of) directly on behalf of foreign residents, such as foreign-resident brokers
and dealers who may be members of the depository, or foreign-resident securities exchanges or
depositories that have established direct relationships with the U.S.-resident central securities depository.
U.S.-resident custodians should report all U.S. securities that are shown on their records as being owned
by foreign residents (or held in custody by its foreign-resident custodian) even if the safekeeping or
settlement of the security is done at a U.S.-resident central securities depository.
K. LIMITED PARTNERSHIPS
Foreign-resident limited partner ownership interests in U.S.-resident limited partnerships should be
reported as security type = 4 (other equity). Limited partners’ ownership interests do not carry voting
rights; therefore, all ownership interests, even those greater than 10%, are reportable. The Number of
Shares field on Schedule 2 (item 18) should be defaulted to the value reported in the US$ Market Value
field (item 16) because limited partnerships do not issue shares.
General partner ownership interests are always considered to be direct investment and all such interests
should be excluded from this report.

L. ACCOUNTING RULES, VALUATION OF SECURITIES, AND CALCULATION OF U.S. DOLLAR
VALUES
Accounting Rules
All securities should be reported using settlement date accounting. Gross long positions should be
reported. Do not net any short positions from long positions. Do not enter decimals or negative values in
any cells.
Valuation of Securities
Report the fair value of securities as of close of business on the last business day of June. The fair value
16

follows the definition of FAS 157.
U.S.-resident custodians should, at a minimum, report the fair value to the extent that it is available as
part of the services provided to their customers, even if the price available is for a date prior to the last
business day of June. If there is doubt as to whether to report the available fair value or to report a fair
value of zero, please contact FRBNY report staff at 212-720-6300 or 646-720-6300.

For ABS, the value of the unpaid principal amount outstanding at close of business on the last business
day of June should be reported; if principal has been repaid, this value will not be the same as the
original face value, revalued at end-period market prices.
Foreign Currency Denominated Securities – CALCULATION OF U.S. DOLLAR VALUES
If the security is not denominated in U.S. dollars (US$) and a U.S. dollar fair (market) value is not
available in your system, convert the foreign currency denominated fair (market) value into US$ using the
spot exchange rate as of the close of business on the last business day of June. If you need assistance
locating an exchange rate, please contact FRBNY staff at 212-720-6300 or 646-720-6300.
If the exchange rate is normally quoted in units of foreign currency per US$, such as ¥105.75/US$, divide
foreign currency values by the foreign exchange rate to obtain the US$ values. For example, if the value
of a U.S. security issued in Japan is ¥ 200,000, and the exchange rate is ¥105.75/US$, divide ¥ 200,000
by 105.75 to obtain US$ 1,891.
If the exchange rate is normally quoted in US$ per units of the foreign currency, such as US$1.75/UK£,
multiply foreign currency values by the US$ exchange rate value of the foreign currency to obtain the US$
values. For example, if the value of a U.S. security issued in the United Kingdom is UK £1,000 and the
exchange rate is US$1.75/UK£, multiply UK £1,000 by 1.75 to obtain US$ 1,750.
M. DATA RETENTION PERIOD
All data used to create this report must be retained by the reporter for a period of 36 months from the
date of the report's submission.

17

N. REVIEW OF DATA AND REQUEST FOR REVISED DATA
Data submitted on the reporting schedules are reviewed by FRBNY staff. As a result of this review, the
reporter may be asked by FRBNY staff to provide supplemental information, including reasons for
significant data changes between reporting periods, or corrected data. In addition, FRBNY staff may
request: (1) information to ensure that all reportable U.S. securities have been reported; (2) information
to ensure that all reported U.S. securities are owned by foreign residents (or held by foreign-resident
custodians or foreign-resident central securities depositories); or (3) other information that helps to
explain or corroborate the submitted data.
Reporters filing data on electronic media that are not formatted per the specifications in Appendix H will
be required to resubmit the data in the proper format.
Each quarter, FRBNY staff obtains a list of debt securities issued abroad by U.S. companies. Experience
has shown that most such issues are largely or completely foreign held. FRBNY staff will compare this
information with the reports submitted by U.S.-resident issuers of foreign placed debt securities to ensure
that foreign-issued securities are being properly reported. FRBNY will ask the issuers of such securities
for additional information in cases of apparent under- or over-reporting.

18

IV. LINE-BY-LINE INSTRUCTIONS FOR SCHEDULE 1- REPORTER CONTACT IDENTIFICATION
AND SUMMARY OF FINANCIAL INFORMATION
A Schedule 1 must be completed by all entities that receive this report booklet. This schedule is used to
provide basic identifying information and summaries of data reported on Schedule 2 records. Please type
or print all information.
(Please enter your ten-digit Reporter Identification Number at the top of each page of
Schedule 1.)
REPORTER CONTACT IDENTIFICATION AND SUMMARY OF FINANCIAL INFORMATION
1. Reporter Identification Number - Enter the ten-digit Reporter Identification Number that is
printed on the top of the mailing label on your institution's report booklet. If you do not know the
Reporter Identification Number for your entity, please contact FRBNY staff at 212-720-6300 or 646720-6300.
2. Organization Name and Address - Include the full legal name and mailing address of the reporting
entity.
3. Reporting Status - Select “1” only if your parent organization has received authorization to file an
unconsolidated report but you are exempt (meaning you have no reportable securities in custody or
have not issued any reportable securities) . All other entities should select "2" and file the
appropriate Schedule 2 records.
4. Reporter Type - Enter one of the following that best describes your organization
1 = Bank
2 = Mutual fund or
investment trust
3 = Insurance company

4 = Other financial
organization
5 = Non-financial organization
6 = Foundation, trust,
estate

7 = Institution of higher
learning (e.g., university)
8 = Other (not listed above)

A Bank is any depository institution (i.e., an institution that takes deposits), a bank holding company, or a
financial holding company organized under Regulation Y of the Federal Reserve Act.
An Other Financial Organization is any other entity that acts as a financial intermediary or financial service
organization, such as a finance company or a broker/dealer, which is operated separately from an entity
in one of the other categories listed above.
A Non-Financial Organization is an entity that conducts commercial, industrial, or trade activities.

19

5. Name of Contact - Enter the name of the person who will be the primary contact for this report and
can answer questions about the data reported.
6-9. Enter the job title, telephone number, fax number, and email address of the primary contact identified
in item 5.
10. Name of Service Provider or Vendor Used - If a service provider or vendor was used to prepare
the data reported, enter the name of the service provider.
11. Name of Technical Contact Person - Enter the name of a person who will serve as a contact
should any technical issues, such as incorrect file formats, arise.
12-14. Enter the job title, telephone number, and email address of the technical contact person identified
in item 11.
15. Valuation Technique - For each reporting unit, describe the valuation technique(s) used to
calculate the reported market values. If securities are automatically valued at zero after a specified time
period of inactivity, please specify the time period and whether this applies to the security or to the
client’s holdings of the security. Also, please specify how securities not actively traded on the report date
and those with internally generated security identification numbers are valued. If your organization has
more than four reporting units, please attach additional copies of Schedule 1, page 2, with item 15
completed.
SUMMARY OF SCHEDULE 2 INFORMATION
This section contains summary data for the information reported on Schedule 2 records. If your entity
submits Schedule 2 data on multiple media, the summary Schedule 2 data should represent aggregate
data across all media for the same reporter identification number.
16. Total Number of Schedule 2 records Submitted - Enter the total number of Schedule 2 records
submitted.
17.Total U.S. $ Fair (Market) Value of All Equity Securities reported on Schedule 2 records Enter the sum of the U.S.$ fair (market) value of all equity security records (records with Schedule 2,
Item 10 = 1, 2, 3, or 4), rounded to the nearest U.S. dollar.
18. Total U.S. $ Fair (Market) Value of All Short-Term Debt Securities (excluding asset-backed
securities) reported on Schedule 2 records - Enter the sum of the U.S. $ fair (market) value of
all such security records (records with Schedule 2, Item 10 = 5, 6, 7, 8, 9, 10, or 11 and Schedule 2,
Item 12 = 1), rounded to the nearest U.S. dollar.

20

19. Total U.S. $ Fair (Market) Value of All Long-Term Debt Securities (excluding asset-backed
securities) reported on Schedule 2 records - Enter the sum of the U.S. $ fair (market) value of
all such security records (records with Schedule 2, Item 10 = 5, 6, 7, 8, 9, 10, or 11 and Schedule 2,
Item 12 = 2), rounded to the nearest U.S. dollar.
20. Total U.S. $ Fair (Market) Value of All Asset-Backed Securities reported on Schedule 2
records - Enter the sum of the U.S. $ fair (market) value of all such security records (records with
Schedule 2, Item 10 = 12), rounded to the nearest U.S. dollar.
CERTIFICATION INFORMATION
This section must be completed by all reporters.
By signing and dating the certification, the Certifier acknowledges that:
•

He/she has read and understood the reporting requirements of this report;

•

He/she is aware that both civil and criminal penalties may be imposed for filing a false report; and

•

He/she is sufficiently knowledgeable about the activities and functions of this entity that he/she can
knowingly and with reasonable confidence certify that the information provided in this report is both
accurate and complete.

21-24. Enter the name, job title, telephone number, and email address of the person in your organization
who certifies that the information provided is complete and accurate. Also sign and date the form.

21

V. LINE-BY-LINE INSTRUCTIONS FOR SCHEDULE 2 - DETAILS OF SECURITIES
(Please enter your ten-digit Reporter Identification Number at the top of each page of
Schedule 2.)
1. Reporter Identification Number - Enter the ten-digit Reporter Identification Number that is printed
on the mailing label on the report booklet. If you do not know the Reporter Identification Number for
your entity, please contact FRBNY staff at 212-720-6300 or 646-720-63002. Sequence Number - Enter
the sequence number of this record, right justified. The first record should be assigned sequence number
1 and each subsequent Schedule 2 record should be sequentially numbered.
3. Reporting Unit Code - If data being submitted are collected from multiple databases or reporting
systems, please report an internal code that will enable you to identify the database or system from
which the information on this Schedule 2 came. This information will greatly reduce the costs of
identifying and fixing any reporting errors that may occur.
3a. Name of Reporting Unit - Enter a description or name of the reporting unit or area that
corresponds to the code reported in item 3.
4. Custodian/Issuer Code - Enter "1" if your entity did not issue this security. Enter "2" for issuer if
your entity issued this security (even if you are also acting as the custodian).
5. Security ID - Enter the security ID code used to identify the security reported on this Schedule 2.
CUSIP codes are strongly preferred. If the CUSIP is not available, please try to provide the ISIN,
CINS, or Common code. Do not use internally generated codes unless this security has not
been assigned a code by any recognized numbering agency (e.g., limited partnerships).
Records for securities for which a portion is restricted and a portion is not restricted should be
reported with the numbering agency code assigned to the unrestricted portion. If excessive internal
codes are used, we may have to contact your institution to help identify characteristics of certain
individual securities. Please include the security ID’s check digit and exclude any internal
coding characters added to the CUSIP or other numbering agency code.
6. Security ID System - Select the appropriate number from the list shown on the form. For example,
if the security ID number entered in Item 5 is a CUSIP number, enter “1”; if it is a CINS, enter “3.”
If the security ID system used is not listed, enter a code of "9" (Other) and provide the name of the
organization generating the code in item 6a.
6a. Comment Line - If you entered a code of "9" (Other) in item 6 you must provide the name of the
organization generating the security ID code.
7. Security Description - Briefly describe the security, providing any relevant descriptive information
available. Ideally, this would include the type of security, the maturity date if debt or ABS, and: (a)
22

for preferred stock the annual dividend; (b) for debt securities, the interest rate; (c) for floating rate
notes, how the interest rate is calculated (e.g., Libor plus 1.5); and (d) for stripped securities the type
of security/tranche. This information is particularly important for securities with an internally
generated or other security ID not generated by a recognized numbering agency, (i.e., security ID
system codes = 8 or 9).
8. Name of Issuer - Enter the name of the entity that issued the security. Please try to provide the full
legal name of the issuer. For branches of banks, please provide the location of the branch.
9. Type of Issuer - Enter “1” if the security was issued by the United States government. Enter “2” if
the security was issued or guaranteed by a federal agency (e.g., Government National Mortgage
Association (GNMA)) or issued by or guaranteed by a federally sponsored enterprise (e.g., Federal
National Mortgage Association (FNMA)). See Appendix I for a list of these entities. Enter "3" if the
security was issued by a state or local government (e.g., New York State bonds). Enter "4"
otherwise.
10. Security Type - Enter the security type code from the list below that most closely describes the type
of security being reported. See the glossary for definitions of these security types.
Equity

Debt (excluding asset-backed securities)

1.
2.
3.
4.

5.
6.
7.
8.

Common stock
Preferred stock
Fund shares
All other equity

Asset-backed securities

Commercial paper
9. Bond or note, unstripped 12. Asset-backed security
Negotiable CD
10. Bond or note, stripped
Convertible debt security 11. All other debt
Zero-coupon bond or note

Type 1 should be used to report all common stock, including restricted common shares.
Type 2 should be used to report all preferred stock, including participating preference shares,
nonparticipating preference shares, convertible preferred stock, and restricted preferred shares.
Type 3 should be used to report all shares of funds, including funds that invest primarily or exclusively
in money market instruments and in long-term debt, exchange traded funds, open-end and closedend mutual funds, and unit investment trusts. (See Section III.E)
Type 4 should be used to report all other types of equity, including foreign-resident limited partner
ownership of U.S.-resident limited partnerships and any other form of equity not specified in security
types 1, 2, and 3.
Type 5 should be used to report all commercial paper, including asset-backed commercial paper.

23

Type 6 should be used to report long-term and short-term negotiable certificates of deposits, including
negotiable bank notes and negotiable deposit notes issued by U.S. institutions, including U.S.
branches of U.S. or foreign banks. Non-negotiable certificates of deposit are not reportable.
Type 7 should be used to report all convertible debt securities, including convertible bonds and zerocoupon convertible debt. However, non-convertible debt securities with embedded warrants or
options should be reported as either type 8 (if a zero-coupon bond or note) or type 9.
Type 8 should be used to report bonds and notes that do not provide interest payments, such as
discount notes. However: (1) zero-coupon convertible debt should be reported as type 7; (2) stripped
non-asset-backed securities, both the interest-only (IO) and principal-only (PO) components, should
be reported as type 10; (3) U.S. Treasury bills should be reported as type 11; and (4) stripped assetbacked securities, the tranches, and the IO and PO components, should be reported as type 12.
Type 9 should be used to report bonds or notes that: (1) cannot be converted to equity securities, (2)
provide interest payments, (3) have not been stripped (i.e., not an IO or PO), and (4) do not give the
owner a claim against the cash flows generated by the underlying assets (i.e., ABS). These bonds and
notes are commonly referred to as “straight debt.”
Type 10 should be used to report all components of stripped securities, including the IO and PO
components. However, all tranches of stripped asset-backed securities should be reported as type 12.
Type 11 should include all debt other than asset-backed securities that is not covered in types 5-10,
including U.S. Treasury bills.
Type 12 should include only short-term and long-term securities that represent securitized interests in
a pool of assets and give the investor a claim against the cash flows generated by the underlying
assets. All tranches of stripped asset-backed securities, as well as unstripped asset-backed securities,
should be reported as type 12. Debt which is collateralized by assets (real or financial), but only give
the investor a claim against the underlying interest if the issuer defaults, should be reported as types
5-11, as appropriate.
11. Intentionally Left Blank
12. Term Indicator (debt, including ABS, only; based on original maturity) - Enter "1" (shortterm) if the period from the issue date to the maturity date is one year or less. Enter "2" if the period
from the security issue date to the maturity date is more than one year. If there are multiple issue
24

dates or redemption dates, enter "2" (long-term) if the period between the initial issue date and the
longest redemption date is more than one year. Perpetual debt should also be classified as long-term.
13. Currency of Denomination - Enter the ISO code from Appendix F that corresponds to the currency
in which the security is denominated.
14. Country of Foreign Holder - Enter the country code from Appendix C that corresponds to the
country of residence of the owner of the security. If the country of residence of the owner is not
known, report the country of residence of the foreign-resident custodian or foreign-resident central
securities depository. Positions of international and multinational regional organizations, whether
located in the United States or elsewhere, should be reported opposite the classification
“International,” if worldwide, or opposite the classifications “European,” “Latin American,” “Caribbean,”
“Asian,” “African,” or “Middle Eastern” regional organizations as indicated in Appendix D. If no
country information is available (as will often be the case with bearer bonds), enter code 88862. If an
excessive number of "country unknowns" is reported for securities other than bearer bonds, we will
contact your institution for further information.
15. Type of Foreign Holder
Enter "1" if the owner is an official institution (see Appendix D or E) even if the account is held in the
name of a foreign custodian or other foreign nominee.
Enter "2" if the account is in the name of one or more individuals (natural persons).
Enter “3” for all other owners, including personal trusts and other investment vehicles even if the
beneficial owner is an individual.
16. U.S. $ Fair (Market) Value of Foreign Owned U.S. Security - Enter the U.S. $ fair (market)
value of foreign-residents' ownership of this security, rounded to the nearest U.S. dollar. (See Section
III.L, Valuation of Securities, for more information on how to calculate the fair (market) value.)
16a.Fair (Market) Value in Currency of Denomination of Foreign Owned U.S. Security - Enter
the fair (market) value of foreign-residents' ownership of this security, rounded to the nearest
currency unit. For ABS, the fair (market) value should be calculated based on the remaining principal
outstanding (item 23) rather than the original face value. If the currency of issue is US$, report the
same value as in item 16. (See Section III.L, Valuation of Securities, for more information on how to
calculate the fair (market) value.)
17. Intentionally Left Blank

25

FOR EQUITY TYPE SECURITIES ONLY
18. Number of Shares - Enter the number of shares owned by foreigners, including fractional shares,
rounded to the nearest share. Wherever possible, combine partial shares with other ownership shares
of the same security to reduce reporting disparities introduced by rounding partial shares. Securities
for which the amount foreign owned is zero should not be reported.
FOR SHORT-TERM AND LONG-TERM DEBT SECURITIES EXCLUDING ASSET-BACKED
SECURITIES
19. Face Value in Currency of Denomination - For both short-term and long-term securities, enter
the face value owned by foreigners in the currency of denomination, rounded to the nearest whole
currency unit. If a security is traded in units, then calculate the face value as: (face value of each
unit) * (the number of units) and report the result in this field. Securities for which the amount
foreign owned is zero should not be reported.
20. Issue Date - Enter the issue date of this security in MMDDYYYY format. For example, if the security
was issued on October 4, 1985, enter 10041985. If there are multiple issue dates, enter the first such
issue date.
21. Maturity Date - Enter the final maturity date (when all remaining principal and interest are due) of
this security in MMDDYYYY format. For example, if the security's final maturity date is January 5,
2010, enter 01052010. For perpetual debt, report a maturity date of 12319999.
FOR SHORT-TERM AND LONG-TERM ASSET-BACKED SECURITIES ONLY
22. Original Face Value in Currency of Denomination - Enter the original face value owned by
foreigners in the currency of denomination, rounded to the nearest whole currency unit. This is the
value that is (would have been) outstanding if no principal has been (had been) repaid. If a security
is traded in units, then calculate the original face value as: (original face value of each unit) * (the
number of units) and report the result in this field.
23. Remaining Principal Outstanding in Currency of Denomination - Enter the remaining principal
outstanding owned by foreigners as of last business day of June in the currency of denomination,
rounded to the nearest whole currency unit. This will equal the original face value if no principal has
been repaid.

26

The remaining principal outstanding should be calculated by multiplying the original face value (item
22) by the factor value as of June 30, 2004. If a security is traded in units, then calculate the
remaining principal outstanding as: (original face value of each unit) * (the number of units) * (factor
value). If the factor value is not available as of the last business day of June, use the closest factor
value prior to the last business day of June. Securities for which the amount foreign owned is zero
should not be reported.
24. Issue Date - Enter the issue date of this security in MMDDYYYY format. For example, if the security
was issued on October 4, 1985, enter 10041985. If there are multiple issue dates, enter the first such
issue date.
25. Maturity Date - Enter the final maturity date (when all remaining principal and interest are due) of
this security in MMDDYYYY format. For example, if the security's final maturity date is January 5,
2010, enter 01052010.

27

APPENDIX
A

28

Annual Report of
Foreign Holdings of U.S. Securities,
Including Selected Money Market Instruments (SHLA)

SCHEDULE 1: REPORTER CONTACT IDENTIFICATION AND
SUMMARY OF FINANCIAL INFORMATION

1.

Reporter Identification Number: Enter your 10-digit reporter identification number….
(Please type or print.)

2.

Company Name:

Street Address:

State:

City:
3. Reporting Status:

Zip Code:

Please enter one of the following…………………………………………………………………….

1 = Exempt - Schedule 2 being submitted by another entity within this organization
2 = Not Exempt - Schedule 2 records being submitted

4. Reporter Type: Please enter one of the following that best describes your firm……………….……….…………………
1 = Bank
2 = Mutual fund or investment trust
3 = Insurance company

4 = Other financial organization
5 = Non-financial organization
6 = Foundation, trust, estate

7 = Institution of higher learning (e.g., university)
8 = Other (not listed above)

Please provide a contact in your organization that can respond to inquiries on questions raised on the data reported.
If you would like to provide more than one contact name, please attach additional copies of page 1, Schedule 1, with
items 5 through 9 completed. (Please type or print.)
6

5.

Name:

7.

Telephone Number:____________________________

9.

Email Address:

. Title:
8. Fax Number:

10. Name of Service Provider or Vendor Used (if applicable):
Please provide a technical contact at your organization who can respond to inquiries on file formats or electronic transmission
issues. (Please type or print.)
11. Name:

12. Title:

13. Telephone Number:

14. Email Address:

Schedule 1, Page 1 of 3

29

Please enter your 10-digit Reporter Identification Number………………………………………..

15. Valuation Technique(s) Used to Determine Market Values
For each reporting unit, please describe the valuation technique(s) used to determine reported market values. If securities are
automatically valued at zero after a specified time period of inactivity, please specify the time period and whether this applies to
the security or to the client’s holdings of the security. Also, please specify how securities not actively traded on the report date
and those with internally generated security identification numbers are valued.
Reporting Unit

__

Valuation Description

_____________________________________________________________________

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Schedule 1, Page 2 of 3

30

Reporter Identification Number: Enter your 10-digit reporter identification number.…...

SUMMARY OF SCHEDULE 2 INFORMATION
16. Total number of Schedule 2 Records submitted……………….……………………………….

,

,

,

,

,

,

18. Total US$ Fair (Market) Value of All Short-Term Debt Securities...
,
(Excluding Asset-Backed Securities) Reported on Schedule 2 Records

,

,

,

19. Total US$ Fair (Market) Value of All Long-Term Debt Securities…
,
(Excluding Asset-Backed Securities) Reported on Schedule 2 Records

,

,

,

,

,

,

,

17. Total US$ Fair (Market) Value of All Equity Securities ……………
Reported on Schedule 2 Records

20. Total US$ Fair (Market) Value of All Asset-Backed Securities……
Reported on Schedule 2 Records

CERTIFICATION INFORMATION
By signing the certification below you acknowledge that:
•
•
•

You have read and understood the reporting requirements of this report;
You are aware that both civil and criminal penalties may be imposed for filing a false report; and
You are sufficiently knowledgeable about the activities and functions of your organization that you can knowingly and with
reasonable confidence certify that the information provided in this report is both accurate and complete.
Date Signed: ____________________

Certifier's Signature:
(Please type or print.)
21. Certifier's Name:
22. Certifier's Title:
23. Certifier's Telephone Number:
24. Certifier's Email Address:

Sche

dule 1, Page 3 of 3

31

Department of the Treasury

OMB No. 1505-0123 Approval Expires 06/30/2014

Annual Report of
Foreign Holdings of U.S. Securities,
Including Selected Money Market Instruments (SHLA)
SCHEDULE 2: DETAILS OF SECURITIES

1.

Reporter Identification Number: Enter your 10-digit reporter identification number….

2.

Sequence Number: Start with 1 and sequentially number each Schedule 2 record submitted…

,

,

3. Reporting Unit Code…………..…..……………………………………………………………………………….
3a. Name of Reporting Unit: ______________________________________________________________________
4.

Issuer Code: ………………………………………………………………………………………………….

5.

Security ID………………………………………………………………………

6.

Security ID System: Please enter one of the following………………………………………………………………..

1 = Custodian (did not issue security)

1 = CUSIP
2 = ISIN

2 = Issuer

3 = CINS
4 = Common Code

8 = Internally Generated
9 = Other (provide answer to 6a)

6a. For code of Other (9) enter the name of the organization or system that assigned the Security ID:
_________________________________________________________________________________________
7.

Security Description: ________________________________________________________________________

8.

Name of Issuer:

9.

Type of Issuer: Please enter one of the following………………………………………………………………………

__________________________________________________________________________

1 = United States Department of the Treasury
2 = Other Federal agency or federally sponsored enterprise

3 = State or local government, including their subdivisions
4 = Other

10. Security Type: Please enter one of the following……………………………………………………………………
Debt (excluding asset-backed securities)
Asset-Backed Securities
Equity
1 = Common stock
2 = Preferred stock
3 = Fund shares
4 = All other equity

5 = Commercial paper
9 = Bond or note, unstripped
6 = Negotiable CD
10 = Bond or note, stripped
7 = Convertible debt security 11 = All other debt
8 = Zero-coupon bond or note

12 = Asset-backed security

11. Intentionally Left Blank …………………………………………………………………………………………..
12. Term Indicator (debt, including ABS, only; based on original maturity)……………………………………………...
1 = Short Term

2 = Long Term

13. Currency of Denomination:………………………………………………………………………………..….
Enter the code from Appendix F for the currency in which the security was issued.
14. Country of Foreign Holder:……………………………………………………………………………
Enter the code from Appendix C for the country of residence of the entity that owns the security (or its foreign-resident
custodian or foreign-resident central securities depository)
15. Type of Foreign Holder: (See Appendix D and E) …………………………………………………………………..……
1 = Official

Sche

2 = Individual

3 = Other

dule 2, Page 1 of 2

32

Reporter Identification Number: Enter your 10-digit reporter identification number…..…..
16. US $ Fair (Market) Value of Foreign Owned U.S. Security……………….
(Note: field length for electronic file is 16)
16a. Fair (Market) Value in Currency of Denomination of Foreign Owned……
U.S. Security (Note: field length for electronic file is 25)

,

,

,

,

,

,

,

,

,

17. Intentionally Left Blank
FOR EQUITY TYPE SECURITIES ONLY
(Security Type 1, 2, 3 or 4)
18. Number of Shares: Enter the number of shares
rounded to the nearest share…………………………………………………

FOR SHORT-TERM AND LONG-TERM DEBT SECURITIES
EXCLUDING ASSET-BACKED SECURITIES
(Security Type 5, 6, 7, 8, 9, 10 or 11)
19. Face Value in Currency of Denomination ……………………………..… ,
(Note: field length for electronic file is 25)

,

,

,

, ,

, ,,

20. Issue Date: MMDDYYYY format (including leading zeros)…………………………..……………
21. Maturity Date: MMDDYYYY format (including leading zeros)….……………………………………………………………
ASSET BACKED
SECURITIES
ONLY
FOR SHORT-TERM
AND LONG-TERM
ASSET-BACKED
SECURITIES ONLY
(Security Type 12)
22. Original Face Value in Currency of Denomination: ..……….…………..
Enter value that would have been outstanding if no principal had been
repaid. (Note: field length for electronic file is 25)

,

,

,

,

23. Remaining Principal Outstanding in Currency of Denomination: …….…
Enter the remaining principal outstanding as of last business day of June in
the currency of denomination. (Note: field length for electronic file is 25)

,

,

,

,

24. Issue Date: MMDDYYYY format (including leading zeros)………………………………………………………………..
25. Maturity Date: MMDDYYYY format (including leading zeros)….…………………………………………………………

Sche

dule 2, Page 2 of 2

33

APPENDIX
B

34

FLOWCHARTS SHOWING REPORTING RESPONSIBILITY
A.

FLOWCHART FOR U.S.-RESIDENT CUSTODIANS (all securities, including all book-entry
securities held at a U.S.-resident central securities depository)

1. A foreign-resident investor or custodian uses U.S.-resident custodian to hold U.S. securities for its account and
the U.S.-resident custodian does not use a U.S. resident sub-custodian.

Foreign-resident
owner
or
Foreign-resident
custodian

U.S.-resident
custodian

Reports on Schedule 2

U.S.-resident
central
securities
depository

Reports only if no U.S.-resident
custodian is used

2. A foreign-resident investor or custodian uses U.S.-resident custodian to hold U.S. securities for its account and
the U.S.-resident custodian uses a U.S. resident sub-custodian.

Foreign-resident
owner
or
Foreign-resident
custodian

U.S.-resident
custodian

U.S.-resident
sub-custodian

Reports on Schedule 2 if
they don’t fully disclose the
client information to the
sub-custodian
Reports on Schedule 2 if they
know the foreign client

35

B.

FLOWCHART FOR U.S.-RESIDENT ISSUERS (registered securities, including all book-entry
securities not issued directly into a foreign market)

U.S. registered security is held directly by a foreigner (i.e., no U.S.-resident custodian and no U.S.-resident
central securities depository is used).

Foreign-resident
owner
or
Foreign-resident
custodian
or
Foreign-resident
central securities
depository

U.S.-resident
issuer

Reports on Schedule 2

C.

FLOWCHART FOR SECURITIES ISSUED DIRECTLY INTO THE FOREIGN MARKET

Issuers should assume that the entire issue is held directly by foreign residents. U.S.-resident custodians should
report all securities held in custody that are foreign owned.

Foreign-resident
owner

U.S.-resident
custodian

U.S.-resident
issuer

↓

Reports ENTIRE issue on Schedule 2

↓

Reports amounts owned by foreigners on Schedule 2

Note: FRBNY eliminates double reporting on a security-by-security basis. Custodial information is
used to provide information on the geographical distribution of the owners of these securities.

36

FLOWCHART FOR DETERMINING REPORTABLE SECURITIES

Is this an equity security, a
debt security (including
ABS), or a reportable money
market instrument?

NO

YES
Is this security
issued by a U.S.
resident?
(See Note)

NO3

Do not report nonsecurities such as
derivatives, loans,
and nonnegotiable
deposits.

Do not report
securities issued
by foreign
residents,
including foreign
branches and
subsidiaries of
U.S. entities.

YES
Is the owner of the
U.S. security a
foreign resident?

NO

If a U.S. equity security,
does the investment
N
represent less than 10% of
the issuer’s voting equity?

NO

YES

YES

This security is reportable. Please refer
to Flowcharts A through C to determine
who is responsible for reporting
detailed Schedule 2 data.

Do not report U.S.
securities owned
by U.S. residents
because this
investment does
not represent a
cross-border
investment.

In most cases, do
not report
investments that
represent 10% or
more of the
issuer’s voting
equity, i.e., direct
investments. (See
Section III.I for a
complete
definition of direct
investment.)

Note: Depositary receipts/shares backed by foreign securities are considered “foreign.” In addition, all securities
issued by the multinational organizations listed in Appendix Dare considered foreign.
37

APPENDIX
C

Revised April 18, 2006

38

List of Country Codes
Code Country
51004 Ca meroon
29998 Canada
51209 Cape Verde, Republic of
36137 Caym an Islands
51306 Central African Republic
50644 Central Bank of West African States
(BCEAO - Banque Centrale des Etats de
l’Afrique de l’Ouest)
51403 Chad
30406 Chile
41408 China, People's Republic of (China
Mainland) (including Inner Mongolia,
Sinkiang (Chinese Turkistan), Tibet, and
Manchuria)
30503 Colom bia
51519 Com oros
51608 Congo (Brazzaville)
51705 Congo (Kinshasa)
60402 Cook Islands
30589 Costa Rica
53007 Cote d'Ivoire (Ivory Coast)
14214 Croatia
30708 Cuba
10405 Cyprus
15288 Czech Republic
10502 Denmark (excluding Faroe Islands and
Greenland)
52302 Djibouti
36218 Dom inica
30805 Dom inican Republic
35416 Eastern Caribbean Central Bank (ECCB)
45004 East Timor
31003 Ecuador (including the Galapagos
Islands)
57002 Egypt
31089 El Salvador
51942 Equatorial Guinea (including Fernando
Po and Rio Muni)
52019 Eritrea
15407 Estonia
52108 Ethiopia
13501 European Central Bank
36307 Falkland Islands (Islas Malvinas)
(including South Georgia and the South
Sandwich Islands)
10618 Faroe Islands

Code Country
40401 Afghanistan
15105 Albania
50105 Algeria
10103 Andorra
50202 Angola
30228 Anguilla
35203 Antigua and Barbuda
30104 Argentina
16519 Ar menia
35254 Aruba
60089 Australia (including Ashmore and
Cartier Islands, Christmas Island, Cocos
(Keeling) Islands, Coral Sea Islands,
Heard Island and McDonald Islands, and
Norfolk Island)
10189 Austria
16527 Azerbaijan
35319 Baham as, The
40703 Bahrain
40746 Bangladesh
13307 Bank for International Settlements
50318 Bank of Central African States (BEAC Banque des Etats de l’Afrique Centrale)
30155 Barbados
16209 Belarus
10251 Belgium
35718 Belize
51802 Benin
35602 Berm uda
40819 Bhutan
30317 BLADEX (Banco Latino Americano de
Exportaciones, SA)
30201 Bolivia
14109 Bosnia and Herzegovina
50504 Botswana
30309 Brazil
60208 British Indian Ocean Territory (Chagos
Archipelago, including Diego Garcia;
also called British Oceania)
35807 British Virgin Islands
41009 Brunei
15202 Bulgaria
57118 Burkina Faso
41106 Bur ma (Myanmar)
50806 Burundi
41203 Ca mbodia

Revised April 18, 2006

39

Code Country
42307 Iran
42404 Iraq
11401 Ireland
13008 Isle of Man
42501 Israel
11509 Italy (excluding San Marino)
31607 Jam aica
42609 Japan
13007 Jersey
42706 Jordan
16543 Kazakhstan
53104 Kenya
60526 Kiribati
44407 Korea, North
43001 Korea, South
43109 Kuwait
16551 Kyrgyzstan
43303 Laos
15601 Latvia
43419 Lebanon
53155 Lesotho
53201 Liberia
53309 Libya
11606 Liechtenstein
15709 Lithuania
11703 Luxem bourg
43508 Macau
14419 Macedonia, The Former Yugoslav
Republic of
53406 Madagascar
53503 Malawi
43605 Malaysia (including Labuan, Sabah
(North Borneo) and Sarawak and former
Federation of Malaya)
43702 Maldives
53589 Mali
11819 Malta (including Gozo)
61204 Marshall Islands
37001 Martinique
53708 Mauritania
53805 Mauritius
54518 Mayotte
31704 Mexico (including Cozumel and
Revillagigedo Islands)
16306 Moldova
12009 Monaco

Code Country
60305 Federated States of Micronesia
60607 Fiji
10707 Finland (including Ahvenanamaa (Aland
Islands))
10804 France (excluding Andorra, French
Guiana, Guadeloupe, Martinique, Mayotte,
Monaco, Reunion, & St. Pierre, & Miquelon)
36404 French Guiana
60704 French Polynesia (including Tahiti and
Clipperton Island)
52418 Gabon
52507 Ga mbia, The
16535 Georgia
11002 Germany (Comprises the Federal
Republic of Germany and the former
German Democratic Republic)
52604 Ghana
11088 Gibraltar
11207 Greece (including the Aegean Islands
(Khios, Kikladhes, Evvoia, Lesvos,
Samos, Samothraki, etc.), the
Dodecanese Islands (and Rhodes), the
Ionian Islands, and Crete)
10545 Greenland
36706 Grenada
36803 Guadeloupe (including islands of MarieGalante, La Desirade, Iles des Saintes,
Saint Barthelemy, and northern Saint
Martin)
31208 Guatem ala
13006 Guernsey (including islands of
Alderney, Herm, Sark, and nearby
smaller islands)
52701 Guinea
54402 Guinea-Bissau
31305 Guyana, Co-Operative Republic of
31402 Haiti
13102 Holy See (Vatican City)
31488 Honduras
42005 Hong Kong (including Kowloon and the
New
Territories)
15504 Hungary
11304 Iceland
42102 India (including Sikkim, Andaman and
Nicobar Islands, Goa, and Laccadive
Islands (Union Territory of
Lakshadweep))
42218 Indonesia (including Timor (Western)
and West New Guinea)
Revised April 18, 2006

40

Code Country
45608 Saudi Arabia
55301 Senegal
13218 Serbia and Montenegro (formerly
Yugoslavia)
55409 Seychelles
55506 Sierra Leone
46019 Singapore
15318 Slovakia
14338 Slovenia
62308 Solom on Islands
55603 Som alia
55719 South Africa
12505 Spain (including Canary Islands)
41319 Sri Lanka
56103 Sudan
37702 Surinam e
56219 Swaziland
12602 Sweden
12688 Switzerland (excluding Liechtenstein)
46205 Syria
46302 Taiwan
16578 Tajikistan
56405 Tanzania (including Zanzibar)
46418 Thailand
56502 Togo
62405 Tokelau
62448 Tonga
32409 Trinidad and Tobago
56707 Tunisia
12807 Turkey (including Aegean Islands of
Imbros and Bozcaada (Tenedos))
16616 Turkm enistan
37818 Turks and Caicos Islands
60518 Tuvalu
56804 Uganda
16403 Ukraine
46604 United Arab Emirates (including Abu
Dhabi, Ajman, Dubai, Fujairah, Ras al
Khaimah, Sharjah (including Kalbah),
and Umm al Qaiwain)
13005 United Kingdom (including England,
Northern Ireland, Scotland, Wales,
Hebrides, Orkney Islands, and Shetland
Islands)
32603 Uruguay
16705 Uzbekistan
61603 Vanuatu

Code Country
43818 Mongolia
37109 Montserrat
54003 Morocco (including Tangier and Ifni)
54089 Mozam bique
54127 Na mibia
61301 Nauru
44202 Nepal
12106 Netherlands
37206 Netherlands Antilles (the islands of
Curacao, Bonaire, Saba, Sint Eustatius,
and Sint Maarten (southern St. Martin)
61409 New Caledonia
61689 New Zealand
31801 Nicaragua
54208 Niger
54305 Nigeria
61808 Niue
12203 Norway (including Bouvet Island, Jan
Mayen, and Svalbard)
44105 Oman (including Muscat)
44709 Pakistan
62502 Palau
31887 Panama (including Canal Zone)
61751 Papua New Guinea
32107 Paraguay
32204 Peru
44806 Philipp ines
62103 Pitcairn Islands
15768 Poland
12319 Portugal (including Azores and Madeira
Islands)
45101 Qatar
54607 Reunion (including islands of Bassas de
India, Europa Island, Glorioso Island,
Juan de Nova Island, and Tromelin
Island)
15806 Rom ania
16101 Russia
55018 Rwanda
55107 Saint Helena (includes Ascension Island
and Island group of Tristan de Cunha)
37303 Saint Kitts and Nevis
37508 Saint Lucia
62219 Saint Pierre and Miquelon
37605 Saint Vincent and the Grenadines
62618 Samoa (formerly Western Samoa)
12408 San Marino
55204 Sao Tome and Principe

Revised April 18, 2006

41

Code Country
Vatican City (see Holy See)
32719 Venezuela
46906 Vietnam
60119 Wallis and Futuna
47201 West Bank and Gaza
56006 Western Sahara
47104 Yemen (Comprises the former Yemen
Arab Republic and the former People’s
Democratic Republic of Yemen)
57207 Zam bia
54704 Zim babwe
72907 International Organizations1

Code Country
73903 European Regional Organizations1
74918 Latin American Regional Organizations1
74942 Caribbean Regional Organizations1
75906 Asian Regional Organizations1
76902 African Regional Organizations1
77909 Middle Eastern Regional Organizations1
88862 Country Unknown
1

See Appendix D for a list of International and Regional
Organizations.

Special cases for this report:
This note applies to the following five geographic areas; they are without permanent occupants
and/or are areas claimed/occupied by different countries: Antarctica; French Southern and Antarctic
Lands (includes Ile Amsterdam, Ile Saint-Paul, Ile Crozet and Iles Kerguelen in southern Indian Ocean);
the Paracel Islands; South Georgia and South Sandwich Islands; and the Spratly Islands.
Survey respondents should allocate such holdings to the TIC country-code used by the holders
for tax purposes, or alternatively, the nationality of the holder.

Revised April 18, 2006

42

APPENDIX
D

43

List of International and Regional Organizations
The institutions listed below should be classified as option 1 (Official) on item 15 of Schedule 2.
INTERNATIONAL ORGANIZATIONS
(country code 72907)

ASIAN REGIONAL ORGANIZATIONS
(country code 75906)

Food and Agriculture Organization (FAO)
Franc Zone
International Organization for Migration
International Atomic Energy Agency
International Bank for Reconstruction and
Development (IBRD) (part of World Bank)
United Nations Children's Fund (UNICEF)
International Civil Aviation Organization
International Criminal Court
International Development Association (IDA)
(part of World Bank)
International Finance Corporation (IFC)
International Fund for Agricultural Development
International Labor Organization (ILO)
International Monetary Fund (IMF)
International Red Cross
Multilateral Investment Guaranty Agency (MIGA)
Preparatory Commission for the Comprehensive
Nuclear-Test-Ban Treaty Organization
United Nations (UN), and Specialized Agencies and
Commissions
Universal Postal Union
World Health Organization (WHO)
World Intellectual Property Organization (WIPO)
World Trade Organization (WTO)

Asian Development Bank (ADB)
Association of Southeast Asian Nations (ASEAN)
Central Treaty Organizations (CENTO)
Colombo Plan for Co-Operative Econ omic and
Social Development in Asia and the Pacific
CARIBBEAN REGIONAL ORGANIZATIONS
(country code 74942)
Caribbean Community and Common Market
(CARICOM)
Caribbean Development Bank
Caribbean Investment Corporation
Caribbean Regional Development Agency
East Caribbean Development Bank
Organization of Eastern Caribbean States (OECS)
EUROPEAN REGIONAL ORGANIZATIONS
(country code 73903)
Council of Europe
Eurocontrol
Eurofima
European Atomic Energy Community (Euratom)
European Bank for Reconstruction and Development
(EBRD)
European Development Fund (EDF)
European Free Trade Association (EFTA)
European Investment Bank (EIB)
European Investment Fund
European Union (EU) (includes the EC)
Nordic Investment Bank
North Atlantic Treaty Organization (NATO)
Organization for Economic Cooperation and
Development (OECD)

AFRICAN REGIONAL ORGANIZATIONS
(country code 76902)
African Development Bank (AfDB)
African Union (formerly Organization of African
Unity)
Arab Bank for Economic Development in Africa
(BADEA)
Conseil de l'Entente
East African Common Service Organization
East African Community
East African Development Bank
Organisation Commune Africaine et Mauricienne
(OCAM)
Special Arab Fund for Africa
Union des Etats de l'Afrique Centrale
Union Douaniere des Etats de l'Afrique de l'Ouest
Union Douaniere et Economique de l'Afrique
Centrale (UDEAC) (Customs and Economic
Union of Central Africa)
Union Monetaire Ouest-Africaine (UMOA)
(West African Monetary Union)

44

LATIN AMERICAN REGIONAL
ORGANIZATIONS (country code 74918)

MIDDLE EASTERN REGIONAL
ORGANIZATIONS (country code 77909)

Andean Development Corporation
Andean Community of Nations (CAN) (formerly
Andean Group)
Banco Latino Americano De Exportaciones, SA
(BLADEX)
Central American Bank of Economic Integration
(CABEI; Banco Centralamericano de
Integracion Economica (BCIE))
Central American Common Market (CACM)
Inter-American Development Bank (IDB)
Inter-American Investment Corporation
Inter-American Savings and Loan Bank
Latin American Integration Association
Latin American Reserve Fund (FLAR)
(formerly Andean Reserve Fund)
North American Development Bank (NADBank)
Organization of American States (OAS) (Pan
American Union) and affiliated organizations
Organization of Central American States (OCAS)
Pan American Health Organization (Pan American
Sanitary Bureau)
Permanent Secretariat of the General Treaty on
Central American Economic Integration
River Plate Basin Commission
Sistema Economico Latinamericano (SELA)
(Latin American Economic System)

Arab Authority for Agricultural Investment and
Development
Arab Fund for Economic and Social Development
(AFESD)
Arab Fund for Technical Assistance to Arab and
African Countries
Arab Investment Company
Arab Joint Investment Company (U.A.E.- Egypt
Investment Company)
Arab Monetary Fund
Arab Petroleum Investment Company
Cooperation Council for the Arab States of the Gulf
(also Gulf Cooperation Council (GCC))
Gulf Investment Corporation
Inter-Arab Investment Guarantee Corporation
Islamic Development Bank
Islamic Solidarity Fund
Muslim World League
OPEC Special Fund
Organization of Arab Petroleum Exporting
Countries (OAPEC)
Fund for Arab Oil Importing Countries
OAPEC Oil Facility
OAPEC Special Account
Special Fund for Arab Non-oil Producers
Organization of the Islamic Conference
Saudi-Egyptian Industrial Investment Company
Saudi-Egyptian Reconstruction Company
Solidarity Fund for Economic and Social
Development in Non-aligned Countries
United Arab Shipping Company

Revised: June 2008

45

APPENDIX E
NOT FOR PUBLICATION

Department of The Treasury
January 2001, Revised Aug. 2002, May 2004, May
2005, July 2006, June 2007, June 2008

List of certain Foreign Institutions classified as Official for purposes of
reporting on the Treasury International Capital (TIC) forms
The attached list does not purport to be exhaustive; it only includes the major foreign official institutions which
have come to the attention of the Federal Reserve Banks and the Department of the Treasury. For any questions
on whether an institution is considered a "Foreign Official Institution" for TIC reporting purposes, please
contact your Federal Reserve Bank analyst.
It should be noted that the list does not in every case include all alternative names applying to the same
institution. For example, the list does not include all the administrative departments of the foreign central
governments nor all special or sub accounts of foreign official institutions, although all are to be treated as
official. In cases in which legations have been changed to embassies, the embassy is shown on the list; reporting
institutions continuing to hold an account in the name of the legation, however, should consider it as official.
AFGHANISTAN
Afghan Permanent Mission to the United Nations
The Central Bank of Afghanistan (Da Afghanistan Bank)
Consulate of Afghanistan
Embassy of Afghanistan
Republic of Afghanistan

ANGUILLA
Governm ent of Anguilla
Ministry of Finance
ANTIGUA and BARBUDA
Consulate of Antigua and Barbuda
Embassy of Antigua and Barbuda
Ministry of Finance
Government of Antigua and Barbuda

ALBANIA
Albanian Permanent Mission to the United Nations
Bank of Albania (Banka e Shtetit Shqiperise)
Consulate of the Republic of Albania
Embassy of the Republic of Albania
Ministry of Finance
Ministry of Foreign Affairs
Republic of Albania

ARGENTINA
Argentine Government Purchasing Missions
Argentine Permanent Mission to the United Nations
Argentine Republic
Banco Central de la Republica Argentina
(Central Bank of Argentine Republic)
Comision de Adquisiciones Aeronauticas en Canada y
los Estados Unidos
Consular, Cultural, Accounting Offices
Consulate of the Argentine Republic
Embassy of the Argentine Republic
Instituto Argentino de Promocion del Intercambio (IAPI)
Ministry of Finance
Office of Air Attache
Office of Argentine Trade
Office of Financial Attache
Office of Military Attache
Office of Naval Attache
Office of Tourism

ALGERIA
Algerian Permanent Mission to the United Nations
Bank of Algeria (Banque d'Algerie)
Consular Office
People’s Democratic Republic of Algeria
Economic and Administrative Office
Embassy of the People's Democratic Republic of Algeria
Militar y Office
Revenue Regulation Fund (Fond de Regulation des Recettes)
ANDORRA
Embassy of Andorra
Government of Andorra
Ministeri de Finances i Interior
Principality of Andorra

ARMENIA
Central Bank of Armenia
Consulate of the Republic of Armenia
Embassy of the Republic of Armenia
Republic of Armenia

ANGOLA
Angolan Permanent Mission to the United Nations
Consulate of the Republic of Angola
Embassy of the Republic of Angola
National Bank of Angola (Banco Nacional de Angola)
Republic of Angola
T rade Office

46

ARUBA
Centrale Bank van Aruba (Central Bank of Aruba)
Department of Economic Affairs, Commerce and Industry
Government of Aruba

BARBADOS
Barbados Permanent Mission to the United Nations
Central Bank of Barbados
Consulate of Barbados
Embassy of Barbados
Government of Barbados

AUSTRALIA
Australian Imperial Force
Australian Permanent Mission to the United Nations
Australian State Annuation Board
Commonwealth of Australia
Consulate of Australia
Embassy of Australia
Future Fund (Commonwealth of Australia)
Office of Air Attache Reserve Bank of Australia
Reserve Bank of Australia
Senior Trade Commission

BELARUS
Consulate of the Republic of Belarus
Embassy of the Republic of Belarus
National Bank of the Republic of Belarus
Republic of Belarus
BELGIUM
Belgian Economic Mission (Mission Economique Belge)
Belgian Information Center
Belgian Permanent Mission to the United Nations
Commercial Counselor of Belgium
Consulate of Belgium
Embassy of Belgium
Kingdom of Belgium
Nationale Bank van Belgie -- Banque Nationale de Belgique
(National Bank of Belgium)
Office of Belgian Agricultural Attache
Office of Military Attache

AUSTRIA
Oesterrei chische Nationalbank (Austrian National Bank)
Austrian Permanent Mission to the United Nations
Consulate of Austria
Office of Austrian Press and Information
Office of Austrian Trade Commission
Office of Commercial Attache
Office of Defense, Military, Naval and Air Attache
Embassy of Austria
Republic of Austria
Trustee of the Austrian Government 1923 43 Bonds

BELIZE
Central Bank of Belize
Consulate of Belize
Embassy of Belize
Government of Belize

AZERBAIJAN
Consulate of the Republic of Azerbaijan
Embassy of the Republic of Azerbaijan
National Bank of Azerbaijan
Republic of Azerbaijan
State Oil Fund (SOFAZ)

BENIN
Benin Permanent Mission to the United Nations
Consulate of the Republic of Benin
Embassy of the Republic of Benin
Ministry of Development, Economy, and Finance
Republic of Benin

BAHAMAS
Bahamas Monetary Authority
Bahamian Permanent Mission to the United Nations
Central Bank of the The Bahamas
Commonwealth of the Bahamas
Consulate of the Commonwealth of the Bahamas
Embassy of the Commonwealth of the Bahamas

BERMUDA
Bermuda Monetary Authority
Government of Bermuda
Ministry of Finance
BHUTAN
Bank of Bhutan
Bhutan Permanent Mission to the United Nations
Consulate of the Kingdom of Bhutan
Kingdom of Bhutan
Royal Monetary Authority of Bhutan

BAHRAIN
Bahrain Monetary Agency
Bahrain Permanent Mission to the United Nations
Consulate of the Kingdom of Bahrain
Embassy of the Kingdom of Bahrain
Ministry of Finance and National Economy
State of Bahrain

BOLIVIA
Banco Central de Bolivia (Central Bank of Bolivia)
Bolivian Army Purchasing Commission
Bolivian Government Central Purchasing Agency
Bolivian Permanent Mission to the United Nations
Consulate of Bolivia
Embassy of the Republic of Bolivia
Ministry of Finance
Office of Military, Naval and Air Attache
Republic of Bolivia

BANGLADESH
Banglad esh Bank
Bangladesh Permanent Mission to the United Nations
Consulate of the People's Republic of Bangladesh
Embassy of the People's Republic of Bangladesh
People's Republic of Bangladesh
BANK FOR INTERNATIONAL SETTLEMENTS
BANK OF CENTRAL AFRICAN STATES
(BEAC; Banque des Etats de l'Afrique Centrale)

47

Union of Burma Permanent Mission to the United Nations

BOSNIA AND HERZEGOVINA
Central Bank of Bosnia and Herzegovina
Consulate of Bosnia and Herzegovina
Embassy of Bosnia and Herzegovina
Government of Bosnia and Herzegovina

BURUNDI
Bank of the Republic of Burundi (Ibanki ya Republika
y'Uburundi)
Burundi Permanent Mission to the United Nations
Consulate of the Republic of Burundi
Embassy of the Republic of Burundi
Republic of Burundi

BOTSWANA
Bank of Botswana
Botswana Permanent Mission to the United Nations
Consulate of the Republic of Botswana
Embassy of the Republic of Botswana
Pula Fund
Republic of Botswana

CAMBODIA
Cambodian Permanent Mission to the United Nations
Kingdom of Cambodia
National Bank of Cambodia (Banque Nationale du Cambodge)
Royal Consulate of Cambodia
Royal Embassy of Cambodia

BRAZIL
Banco Central do Brasil (Central Bank of Brazil)
Banco do Brasil
Brazilian Aeronautical Commission
Brazilian Air Force Office
Brazilian Army Commission
Brazilian Consulate (Consulate of Brazil)
Brazilian Delegation to the Pan American Union
Brazilian Embassy (Embassy of Brazil)
Brazilian Naval Commission
Brazilian Navy Fund
Brazilian Permanent Mission to the United Nations
Brazilian Treasury Delegation
Comissao Mixta Ferroviaria Brasilieiro Boliviano
Federative Republic of Brazil
Office of the Financial Counselor

CAMEROON
Cameroon Permanent Mission to the United Nations
Consulate of the Republic of Cameroon
Embassy of the Republic of Cameroon
Ministry of Economy and Finance
Republic of Cameroon
CANADA
Bank of Canada – Banque du Canada
Canadian Army Staff
Canadian Joint Staff
Canadian Naval Staff
Canadian Permanent Mission to the United Nations
Consulate General of Canada
Department of Trade and Commerce of Canada
Government of Canada
Dominion of Canada
Embassy of Canada
Exchange Funds Account
Minister of Finance and Receiver General of Canada
Office of the Commercial Counselor of Canada

BRUNEI
Brunei Currency and Monetary Board
Brunei Investment Agency
Brunei Investment Authority
Embassy of the State of Brunei Darussalam
General Reserve Fund
Government of Negara Brunei Darussalam
Ministry of Finance

CAPE VERDE
Banco de Cabo Verde (Bank of Cape Verde)
Consulate of the Republic of Cape Verde
Embassy of the Republic of Cape Verde
Republic of Cape Verde

BULGARIA
Bulgarian Permanent Mission to the United Nations
Bulgarian National Bank (Bulgarska Narodna Banka)
Consulate of the Republic of Bulgaria
Embassy of the Republic of Bulgaria
Legation of the Republic of Bulgaria
Office of Armed Forces Attache
Office of Commercial Counselor
Republic of Bulgaria

CAYMAN ISLANDS
Cayman Islands Monetary Authority
Department of Treasury
Government of Cayman Islands
CENTRAL AFRICAN REPUBLIC
Central African Republic
Central African Republic Permanent Mission to the United
Nations
Consulate of Central African Republic
Embassy of Central African Republic
Ministry of Finance and Budget

BURKINA-FASO
Burkina Faso Permanent Mission to the United Nations
Consulate of Burkina Faso
Embassy of Burkina Faso
Government of Burkina Faso
Ministry of Economy and Development
BURMA (MYANMAR)
Central Bank of Myanmar
Central Treasury Office
Consulate of Union of Burma
Embassy of Union of Burma
Office of Defense, Military, Naval & Air Attache
Union of Burma

CENTRAL BANK OF WEST AFRICAN STATES
(BCEAO; Banque Centrale des Etats de l'Afrique de l'Ouest)

48

CHAD
Chad Permanent Mission to the United Nations
Embassy of the Republic of Chad
Ministry of Economy and Finance
Republic of Chad

COOK ISLANDS
Consular Office
Government of the Cook Islands
Ministry of Finance and Economic Management
COSTA RICA
Banco Central de Costa Rica (Central Bank of Costa Rica)
Com mercial Office
Consulate of Costa Rica
Costa Rican Permanent Mission to the United Nations
Embassy of Costa Rica
Republic of Costa Rica

CHILE
Banco Central de Chile (Central Bank of Chile)
Caja Autonoma de Amortizacion de la Deuda Publica de Chile
Chilean Permanent Mission to the United Nations
Consulate of the Republic of Chile
Economic and Social Stabilization Fund
Embassy of the Republic of Chile
Ministry of Finance
Office of Air Attache
Office of Military Attache
Office of Naval Attache
Pension Reserve Fund
Republic of Chile
Superintendencia de la Casa de Moneda y Especies Valorades

COTE D’IVOIRE (IVORY COAST)
Consulate of the Republic of Cote d’Ivoire
Embassy of the Republic of Cote d’Ivoire
Ivory Coast Permanent Mission to the United Nations
Ministry of Economy and Finance
Republic of the Ivory Coast (Republique de Cote d'Ivoire)
CROATIA
Consulate of the Republic of Croatia
Embassy of the Republic of Croatia
Croatian National Bank
Republic of Croatia

CHINA, MAINLAND
Central Huijin Investment
China Hueijing Holding Company
China Investment Corporation
China Jianyin Investment
Chinese Permanent Mission to the United Nations
Consulate of the People's Republic of China, and other
consular offices in the U.S.
Embassy of the People's Republic of China (including all its
offices)
Ministry of Finance
Ministry of Foreign Affairs
Ministry of Foreign Economic Relations and Trade
The People's Bank of China
People's Republic of China
State Administration of Foreign Exchange (SAFE) (formerly
State Administration for Exchange Control (SAEC))

CUBA
Banco Central de Cuba (Central Bank of Cuba)
Consulate of Cuba
Cuban Interests Section, Embassy of Switzerland
Cuban Permanent Mission to the United Nations
Embassy of Cuba
Republic of Cuba
CYPRUS
Central Bank of Cyprus
Consulate of the Republic of Cyprus
Cypriot Permanent Mission to the United Nations
Embassy of the Republic of Cyprus
Maritim e Office
Republic of Cyprus
Tourist Office

COLOMBIA
Banco de la Republica (Bank of the Republic)
Colombian Permanent Mission to the United Nations
Consulate of Colombia
Embassy of Colombia
Republic of Colombia

CZECH REPUBLIC
Com mercial Office
Consulate of the Czech Republic (including Consulate
General in Los Angeles)
Ceska Narodni Banka (Czech National Bank)
Czech Republic
Office of the Defense Attache of the Czech Republic
Embassy of the Czech Republic
Permanent Mission of the Czech Republic to the United
Nations

COMOROS
Central Bank of the Comoros (Banque Centrale des Comores)
Embassy of the Union of Comoros
Federal Islamic Republic of the Comoros
CONGO (BRAZZAVILLE)
Consulate of the Republic of the Congo
Embassy of the Republic of the Congo
Office of Defense Attache
Ministry of Economy, Finance, and Budget
Republic of the Congo

DENMARK
Danish Permanent Mission to the United Nations
Kingdom of Denmark
Ministry of Finance
Danmarks Nationalbank (National Bank of Denmark)
Office of Defense, Military, Naval and Air Attache
Royal Danish Consulate (Consulate of Denmark)
Royal Danish Embassy (Embassy of Denmark)

CONGO (KINSHASA)
Banque Centrale du Congo (Central Bank of Congo)
Bank of the Democratic Republic of Congo
Consulate of the Democratic Republic of the Congo
Democratic Republic of the Congo
Embassy of the Democratic Republic of the Congo

49

DJIBOUTI
Djibouti Permanent Mission to the United Nations
Embassy of the Republic of Djibouti
National Bank of Djibouti (Banque Nationale de Djibouti)
Republic of Djibouti
Tresor National de la Republique de Djibouti

Republic of El Salvador
Salvadoran Permanent Mission to the United Nations
EQUATORIAL GUINEA
Embassy of the Republic of Equatorial Guinea
Equatorial Guinea Permanent Mission to the United Nations
Ministry of Finance
Republic of Equatorial Guinea

DOMINICA
Common wealth of Dominica
Consulate of the Commonwealth of Dominica
Embassy of the Commonwealth of Dominica
Ministry of Finance

ERITREA
Consulate of the State of Eritrea
Embassy of the State of Eritrea
National Bank of Eritrea
S tate of Eritrea

DOMINICAN REPUBLIC
Banco Central de la Republica Dominicana (Central Bank of
the Dominican Republic)
Consulate of the Dominican Republic
Dominican Republic Permanent Mission to the United Nations
Embassy of the Dominican Republic
Government of the Dominican Republic

ESTONIA
Consulate of Estonia
Embassy of Estonia
Eesti Pank (Bank of Estonia)
Legation of Estonia
Republic of Estonia
Stabilization Reserve Fund

EAST TIMOR
Banking and Payments Authority (BPA)
Central Fiscal Authority (CFA)
Democratic Republic of East Timor
Embassy of the Democratic Republic of Timor Leste
Petroleum Fund of Timor-Leste

ETHIOPIA
Consulate of Ethiopia
Embassy of Ethiopia
Ethiopian Government Department
Ethiopian Permanent Mission to the United Nations
National Bank of Ethiopia
Office of Economic, Financial and Trade
P eople's Democratic Republic of Ethiopia

EASTERN CARIBBEAN CENTRAL BANK (ECCB)
ECUADOR
Banco Central del Ecuador (Central Bank of Ecuador)
Consulate of Ecuador
Ecuadorian Permanent Mission to the United Nations
Embassy of Ecuador
Gobierno del Ecuador, Programa de Mantenimiento de
Carreteras
National Monetary Board (Junta Monetaria Nacional)
Office of the Air Attache
Office of Military Attache
Office of the Naval Attache
Office of Police Attache
Republic of Ecuador

EUROPEAN CENTRAL BANK (ECB)
FALKLAND ISLANDS (ISLAS MALVINAS)
The Commissioner of Currency
Government of the Falkland Islands (Islas Malvinas)
Treasur y Department
FAROE ISLANDS
Governmental Bank of the Faroe Islands
Government of the Faroe Islands
Ministry of Finance
FIJI
Consulate of the Republic of Fiji Islands
Embassy of the Republic of Fiji Islands
Reserve Bank of Fiji
Republic of Fiji

EGYPT
Arab Republic of Egypt
Central Bank of Egypt
Com mercial Office
Consulate of the Arab Republic of Egypt
Cultural and Educational Bureau
Egyptian Permanent Mission to the United Nations
Embassy of the Arab Republic of Egypt
Office of Commercial and Economic Affairs
Office of the Defense, Military, Naval and Air Attache
Office of Press and Information
Office of Procurement

FINLAND
Consulate of Finland
Embassy of Finland
Finnish Permanent Mission to the United Nations
Office of Defense, Military, Naval and Air Attache
Office of National Technology Agency of Finland
Office of Trade and Finance
Republic of Finland
Suomen Pankki (Bank of Finland) (Finlands Bank)

EL SALVADOR
The Central Reserve Bank of El Salvador
(Banco Central Reserva de El Salvador)
Consulate of El Salvador
Embassy of El Salvador
Office of Counselor for Economic, Financial & Commercial
Affairs
Office of Defense Attache

50

FRANCE
Banque de France (Bank of France)
The Caisse Francaise de Developpement
Commercial Office, Trade Commission of France
Consulate of France
Credit National
Cultural Services Office of France
Cultural and Scientific Office of France
Embassy of France
Financial Service (French Treasury Office)
French Permanent Mission to the United Nations
F rench Republic
French Republic, General Treasury
Invest in France Agency Office
Press Section Office of France
Social Service Office of France
Tourism Office of France
Trade Office of France
Visa Section of France
Stabilization Fund of the Republic of France

GHANA
Bank of Ghana
Consulate of Ghana
Embassy of Ghana
Ghana Permanent Mission to the United Nations
Republic of Ghana
GIBRALTAR
City of Gibraltar
The Commissioner of Currency
Department of Government Finance
Government of Gibraltar
GREECE
Bank of Greece
Consulate of Greece
Economic and Commercial Office of Greece
Embassy of Greece
Greek Permanent Mission to the United Nations
Greek Seamens' Pension Fund
Greek Supply Council
Greek Tourist Office of Greece
Hellen ic Republic
Office of the Commercial Counselor
Office of Defense, Military, Naval and Air Attache
Office of Educational Affairs of Greece
Office of Mercantile Marine of Greece

FRENCH GUIANA
Caisse Centrale de Cooperation Economique
Department of French Guiana, French Republic
L'agence de l'IEDOM à la Guyane (IEDOM –
Institut d'Emission des Departements d'Outre mer)
Office des Changes de Guyane
FRENCH POLYNESIA
L'agence de l'IEOM à Polynésie française (IEOM –
Institut d'Emission d'Outre mer)
Ministry of Finance and Tourism
Territory of French Polynesia

GREENLAND
Greenland Exchequer
Government of Greenland (Home Rule Government)
Ministry of Finances and Foreign Affairs
GRENADA
Consulate of Grenada
Embassy of Grenada
Government of Grenada
Ministry of Finance

GABON
Consulate of the Gabonese Republic
Embassy of the Gabonese Republic
Gabonese Permanent Mission to the United Nations
Gabonese Republic
Ministry of Economy, Finance, Budget, and Privatization

GUADELOUPE
Department of Guadeloupe, French Republic
L'agence de l'IEDOM à la Guadeloupe (IEDOM –
Institut d'Emission des Departements d'Outre mer)
Office des Changes de la Guadeloupe

GAMBIA
Central Bank of The Gambia
Consulate of The Gambia
Embassy of The Gambia
Gambian Permanent Mission to the United Nations
Republic of The Gambia

GUATEMALA
Banco de Guatemala (Bank of Guatemala)
Consulate of Guatemala
Embassy of Guatemala
Guatemalan Government Agencies
Guatemalan Permanent Mission to the United Nations
Office of Commercial Attache
Office of Defense, Military, Naval and Air Attache
Republic of Guatemala
Secretaria de Hacienda y Credito Publico de Guatemala

GEORGIA
Consulate of the Republic of Georgia
Embassy of the Republic of Georgia
Office of Information and Culture
National Bank of Georgia
Republic of Georgia
GERMANY
Deutsche Bundesbank (Central Bank of the Federal
Republic of Germany)
Combined Travel Board
Consulate of the Federal Republic of Germany
Embassy of the Federal Republic of Germany
Federal Republic of Germany
German Permanent Mission to the United Nations
Joint Export Import Agency
Trustees of German External Loan

GUERNSEY
Bailiwick of Guernsey (includes States of Alderney,
States of Guernsey, and Seigneur of Sark)
Guernsey Financial Services Commission
The Treasurer, States of Guernsey
Treasury and Resources Department

51

Hong Kong Special Administrative Region (or Hong Kong
(S.A.R.))
State Administration of Foreign Exchange (SAFE)
Investment Company

GUINEA
Central Bank of the Republic of Guinea (Banque Centrale de
la Republique de Guinee)
Consulate of the Republic of Guinea
Embassy of the Republic of Guinea
Guinea Permanent Mission to the United Nations
Republic of Guinea

HUNGARY
Com mercial Office
Consulate of the Republic of Hungary
Embassy of the Republic of Hungary
Hungarian Foreign Trade Bank Ltd.
(Magyar Kulkereskedelmi Bank Rt)
Hungarian Permanent Mission to the United Nations
Hungarian Tourist Board
Legation of Hungary
Magyar Nemzeti Bank (National Bank of Hungary)
Ministry of Finance
Ministry of Foreign Affairs
Ministry of Foreign Trade
Office of Military and Air Attache
Republic of Hungary

GUINEA BISSAU
Embassy of the Republic of Guinea-Bissau
Guinea Bissau Permanent Mission to the United Nations
Ministry of Finance
Republic of Guinea Bissau
GUYANA
Bank of Guyana
Consulate of Guyana
Cooperative Republic of Guyana
Embassy of Guyana
Guyanan Permanent Mission to the United Nations

ICELAND
Central Bank of Iceland (Sedlabanki Islands)
Consulate of Iceland
Counselor of Iceland
Embassy of Iceland
Icelandic Permanent Mission to the United Nations
Republic of Iceland

HAITI
Central Bank of Haiti
Consulate of the Republic of Haiti
Embassy of the Republic of Haiti
Haitian Permanent Mission to the United Nations
Office of Commercial Attache
Office of Military Attache
Republic of Haiti

INDIA
Commercial and Supply Office
Consulate of India
Embassy of India
Government of India Education Department
Government of India Information Services
Indian Permanent Mission to the United Nations
Passport and Visa Section
Republic of India
Reserve Bank of India

HOLY SEE (VATICAN CITY)
Accounts in the name of "His Holiness, the Pope"
Amministrazione dei Beni Della Santa Sede
Amministrazione Speciale Della Santa Sede
Apostolic Delegation
Apostolic Nunciature
Hol y See
Istituto per le Opere di Religione (IOR)
(Institute for Works of Religion)
Mission for the Society of Jesus Vatican Account
The Permanent Observer Mission of the Holy See to
the United Nations
Patrimony of the Holy See
Pontificia opera Assistenza Comitato Economico
Prefecture for Economic Affairs
Sacra Congregazione de Propaganda Fide, Vatican City
State of the Vatican City
Vatican City Amministrazione Patrimonio

INDONESIA
Bank Indonesia
Consulate of the Republic of Indonesia
Embassy of the Republic of Indonesia
Indonesia Supply Mission
Indonesian Permanent Mission to the United Nations
Republic of Indonesia
Trade Promotion Center of Indonesia

HONDURAS
Banco Central de Honduras (Central Bank of Honduras)
Consul General of Honduras
Embassy of Honduras
Honduran Exchange Control Commission
Honduran Permanent Mission to the United Nations
Ministerio de Hacienda Credito Publico y Comercio
Republic of Honduras

IRAN
The Central Bank of the Islamic Republic of Iran
(Bank Markazi Jomhouri Islami Iran )
Foreign Exchange Reserve Account
Islamic Republic of Iran
Iranian Permanent Mission to the United Nations
Iranian Interests Section, Embassy of Pakistan
Oil Stabilization Fund

HONG KONG
Exchang e Fund
Hong Kong Government Treasury
Hong Kong Monetary Authority (HKMA)
Hong Kong Monetary Authority (HKMA) Investment
Portfolio

IRAQ
Central Bank of Iraq
Embassy of the Republic of Iraq
Iraqi Fund for Foreign Development (IFFD)
Iraqi Permanent Mission to the United Nations
Republic of Iraq

52

IRELAND
Central Bank and Financial Services Authority of Ireland
(Banc Ceannais na hEireann)
Consulate of Ireland
Department of External Affairs, Ireland
Embassy of Ireland
Irish Government Departments
Irish Permanent Mission to the United Nations
Ministry of Finance
Republic of Ireland

Japanese Permanent Mission to the United Nations
Ministry of Finance
Ministry of International Trade and Industry (MITI)
Ministry of Posts and Telecommunications
JERSEY
Bailiwick of Jersey (includes the States of Jersey)
State of Jersey Financial Services Commission
The Treasurer, States of Jersey
Treasury and Resources Department

ISLE OF MAN
Isle of Man Financial Supervision Commission
Government of Isle of Man
The Treasurer, Isle of Man Government
Treasur y Department

JORDAN
Central Bank of Jordan
Consulate of Hashemite Kingdom of Jordan
Embassy of Hashemite Kingdom of Jordan
Hashemite Kingdom of Jordan
Jordanian Permanent Mission to the United Nations
Office of Information Bureau
Office of Military, Air and Naval Attache

ISRAEL
Bank of Israel
Consulate of Israel
Defense Procurement Mission of Israel
Economic Mission of Israel
Embassy of Israel
Israeli Permanent Mission to the United Nations
Israeli Supply Mission
Ministry of Finance
Office of Tourism Mission of Israel
State of Israel
Treasury for the State of Israel

KAZAKHSTAN
Consulate of the Republic of Kazakhstan
Embassy of the Republic of Kazakhstan
Ministry of Finance
National Bank of Kazakhstan (National Bank of
the Republic of Kazakhstan)
National Fund of Republic of Kazakhstan
Republic of Kazakhstan
KENYA
Central Bank of Kenya
Consulate of the Republic of Kenya
Embassy of the Republic of Kenya
Kenya Permanent Mission to the United Nations
Republic of Kenya

ITALY
Banca d'Italia (Bank of Italy)
Com mercial Office
Consulate of Italy
Embassy of Italy
Istituto Nazionale per i Cambi con 1'Estero
Italian Cultural Institute
Italian Government Departments
Italian Permanent Mission to the United Nations
Italian Technical Delegation
Italian Tourist Information Service, Inc.
Office of Italian Air Attache
Office of Cultural Attache
Office of Defense Attache
Office of Italian Military Attache
Office of Italian Naval Attache
Office of Science Attache
Republic of Italy
Trade Promotion Section of Italy
Ufficio Italiano dei Cambi CANTIBEL
(Exchange Control Office)

KIRIBATI
Bank of Kiribati
Consulate of the Republic of Kiribati
Ministry of Finance
Republic of Kiribati
Revenue Equalization Reserve Fund
KOREA, NORTH
Central Bank of Korea
Democratic People's Republic of Korea
Democratic People’s Rep. of Korea Permanent
Mission to the United Nations
Ministry of Finance
Ministry of Foreign Trade
KOREA, SOUTH
Bank of Korea
Consulate of the Republic of Korea
Embassy of the Republic of Korea
Foreign Exchange Stabilization Fund
Korea Investment Corporation
Ministry of Finance and Economy
Office of Education
Office of Information
Office of Defense and Logistics
Republic of Korea
Republic of Korea Permanent Mission to the United Nations
Special Representative of the Republic of Korea

JAMAICA
Bank of Jamaica
Consulate of Jamaica
Embassy of Jamaica
Government of Jamaica
Jamaican Permanent Mission to the United Nations
Ministry of Finance & Planning
JAPAN
Bank of Japan (Nippon Ginko)
Consulate of Japan
Embassy of Japan
Government of Japan

53

KUWAIT
Central Bank of Kuwait
Consulate of the State of Kuwait
Cultural, University, Liaison Offices
Embassy of the State of Kuwait
General Reserve Fund
Kuwait Currency Board
Kuwait Fund for Arab Economic Development (KFAED)
Kuwait Investment Authority
Kuwait Investment Office
Kuwaiti Permanent Mission to the United Nations
Ministry of Finance and Oil
Office of Health
Office of Information
Public Institution for Social Security
Future Generations Fund
State of Kuwait

LIBERIA
Consulate of the Republic of Liberia
Embassy of the Republic of Liberia
Liberian Permanent Mission to the United Nations
Ministry of Finance
National Bank of Liberia
Republic of Liberia
LIBYA
Central Bank of Libya
Embassy of Libya
Lib yan Liaison Office
Libyan Permanent Mission to the United Nations
Socialist People's Libyan Arab Jamahiriya
Libyan Investment Authority
Libyan Arab Foreign Investment Company
LITHUANIA
Consulate of the Republic of Lithuania
Embassy of the Republic of Lithuania
Lietuvos Bankas (Bank of Lithuania)
Lithuan ian Legation
Republic of Lithuania

KYRGYZSTAN
Consulate of the Kyrgyz Republic
Embassy of the Kyrgyz Republic
National Bank of the Kyrgyz Republic
Republic of Kyrgyzstan
LAOS
Banque du Commerce Exterieur Lao
Embassy of the Lao People's Democratic Republic
(Embassy of Laos)
Lao People's Democratic Republic
Laotian Permanent Mission to the United Nations
Ministry of Finance
Bank of the Lao People’s Democratic Republic
(Bank of Lao PDR) (Banque de la RDP Lao)

LUXEMBOURG
Banque Centrale du Luxembourg (Central Bank of
Luxembourg)
Consulate of the Grand Duchy of Luxembourg
Embassy of the Grand Duchy of Luxembourg
Grand Duchy of Luxembourg
Institut Monetaire Luxembourgeois
Luxembourg Permanent Mission to the United Nations
MACAU
Macau Special Administrative Region (Macau (S.A.R.)
Monetary Authority of Macau (Authoridade Monetaria de
Macau)
Secretariat for Economy and Finance

LATVIA
Bank of Latvia (Latvijas Banka)
Consulate of Latvia
Embassy of Latvia
Department of State Economy
Latvian Ministry of Finance
Legation of Latvia
Republic of Latvia

MACEDONIA, REPUBLIC OF
Consulate of the Republic of Macedonia
Embassy of the Republic of Macedonia
National Bank of the Republic of Macedonia
(Narodna Banka na Makesdonija)
Republic of Macedonia

LEBANON
Banque du Liban (Central Bank of Lebanon)
Consulate of Lebanon
Embassy of Lebanon
Lebanese Permanent Mission to the United Nations
Ministry of Defense
Republic of Lebanon

MADAGASCAR
Central Bank of Madagascar (Banque Centrale de Madagascar)
Consulate of the Republic of Madagascar
Democratic Republic of Madagascar
Embassy of the Republic of Madagascar
Madagascar Permanent Mission to the United Nations

LESOTHO
Central Bank of Lesotho
Consulate of the Kingdom of Lesotho
Embassy of the Kingdom of Lesotho
Kingdom of Lesotho
Lesotho Permanent Mission to the United Nations

MALAWI
Embassy of Malawi
Malawi Permanent Mission to the United Nations
Republic of Malawi
Reserve Bank of Malawi

LIECHTENSTEIN
Embassy of the Principality of Liechtenstein
Principality of Liechtenstein
State Bank of Liechtenstein
(Liechtensteinische Landesbank)

54

MALAYSIA
Bank Negara Malaysia (Central Bank of Malaysia)
Consulate of Malaysia
Embassy of Malaysia
Government of Malaysia
Khazanah Nasional Berhad
Malayan Permanent Mission to the United Nations
Malaysian Rubber Export Promotion Council
Ministry of Finance (Treasury Malaysia)
Office of Defense, Military, Naval and Air Attache
Office of Economic Counselor
Office of Malaysian Students
Office of Mara Students
Office of Scientific Attache

MAYOTTE
L'agence de l'IEDOM à Mayotte (IEDOM –
Institut d'Emission des Departements d'Outre mer)
Territorial Collectivity of Mayotte
MEXICO
Banco de Mexico (Bank of Mexico)
Commercial Office of Mexico
Consulate of Mexico
Delegacion Fiscal Mexico
Embassy of Mexico
Foreign Trade Institute of Mexico
Mexican Permanent Mission to the United Nations
Office of Agriculture and Forestry Minister
Office of Defense, Military and Air Attache
Office of Financial Counselor
Office of Naval Attache
Office of Attorney General of Mexico
Office of Tourism Minister
Office of Trade Minister
Office of Trade Negotiations
Oil Income Stabilization Fund
Tourism Board of Mexico
United Mexican States

MALDIVES
Embassy of the Republic of Maldives
Maldives Monetary Authority
Maldives Permanent Mission to the United Nations
Republic of Maldives
MALI
Consulate of the Republic of Mali
Embassy of the Republic of Mali
Mali Permanent Mission to the United Nations
Ministry of Finance
Republic of Mali

MICRONESIA, FEDERATED STATES OF
Compact Trust Fund
Consulate of the Federated States of Micronesia
Embassy of the Federated States of Micronesia
Federated States of Micronesia Banking Board
Federated States of Micronesia Finance Ministry
Federated States of Micronesia Social Security Administration
Federated States of Micronesia

MALTA
Central Bank of Malta
Consulate of Malta
Embassy of Malta
Maltese Permanent Mission to the United Nations
Republic of Malta

MOLDOVA
Consulate of the Republic of Moldova
Embassy of the Republic of Moldova
The National Bank of Moldova
Republic of Moldova

MARSHALL ISLANDS
Compact Trust Fund
Consulate of the Republic of the Marshall Islands
Embassy of the Republic of the Marshall Islands
Marshall Islands Nuclear Claims Tribunal
Ministry of Finance
Republic of the Marshall Islands

MONGOLIA
The Bank of Mongolia
Consulate of Mongolia
Embassy of Mongolia
Government of Mongolia
Mongolian Permanent Mission to the United Nations

MARTINIQUE
Department of Martinique, French Republic
Institut d'Emission des Departements d'Outre mer
(IEDOM) (L'agence de l'IEDOM à la Martinique)
Office des Changes de la Martinique

MONACO
Consulate of the Principality of Monaco
Département des Finances et de l'Economie
Principality of Monaco

MAURITANIA
Central Bank of Mauritania
(Banque Centrale de Mauritanie)
Embassy of the Islamic Republic of Mauritania
Islamic Republic of Mauritania
Mauritania Permanent Mission to the United Nations
National Fund for Hydrocarbon Resources

MOROCCO
Bank Al-Maghrib (Banque Al Maghrib)
Consulate of the Kingdom of Morocco
Embassy of the Kingdom of Morocco
Kingdom of Morocco
Moroccan Permanent Mission to the United Nations

MAURITIUS
Bank of Mauritius
Consulate of Republic of Mauritius
Embassy of Republic of Mauritius
Mauritius Permanent Mission to the United Nations
Republic of Mauritius

MOZAMBIQUE
Bank of Mozambique (Banco de Mozambique)
Embassy of the Republic of Mozambique
Mozambique Permanent Mission to the United Nations
Republic of Mozambique

55

NAMIBIA
Bank of Namibia
Consulate of the Republic of Namibia
Embassy of the Republic of Namibia
Republic of Namibia

Corporation of Nicaragua (Corporacion Financiera
de Nicaragua (CORFIN))
Embassy of the Republic of Nicaragua
High Comissioner of the Republic of Nicaragua
Ministry of Treasury and Public Credit
Nicaraguan Permanent mission to the United Nations
Office of Military Attache to the Nicaraguan Embassy
Republic of Nicaragua
Republic of Nicaragua Collector General of Customs

NAURU
Bank of Nauru
Consulate of the Republic of Nauru
Embassy of the Republic of Nauru
Republic of Nauru

NIGER
Embassy of the Republic of Niger
Niger Permanent Mission to the United Nations
Ministry of Finance
Republic of Niger

NEPAL
Ro yal Nepalese Consulate
Royal Nepalese Embassy (Embassy of Nepal)
Kingdom of Nepal
Ministry of Finance
Nepalese Permanent Mission to the United Nations
Nepal Rastra Bank (Central Bank of the Kingdom of Nepal)

NIGERIA
Central Bank of Nigeria
Consulate of the Federal Republic of Nigeria
Embassy of the Federal Republic of Nigeria
Excess Crude Account
Federal Republic of Nigeria
Nigerian Permanent Mission to the United Nations

NETHERLANDS
Auditor General of the Netherlands Government
De Nederlandsche Bank (Netherlands Bank)
Departments of the Government of the Netherlands
Dutch Permanent Mission to the United Nations
Kingdom of the Netherlands
Ministry of Finance
Netherlands Economic Mission
Netherlands Government
Netherlands Government Food Purchasing Bureau
Netherlands Ministry of Traffic, Directorate General of
Shipping
Netherlands Purchasing Commission
Office of Netherlands Naval Attache
Royal Netherlands Consulate (Consulate of the Netherlands)
Royal Netherlands Embassy (Embassy of the Netherlands)
Royal Netherlands Navy
The Netherlands Information Bureau

NIUE
Treasur y Department
Government of Niue
NORWAY
Government Pension Fund (former State Petroleum Fund)
Government Petroleum Insurance Fund
Kingdom of Norway
Ministry of Finance
Norges Bank (Central Bank of Norway)
Norwegian Permanent Mission to the United Nations
Norwegian Purchasing Commission
Norwegian Shipping and Trade Commission
Royal Norwegian Air Force
Royal Norwegian Commerce Department
Royal Norwegian Consulate (Consulate of Norway)
Royal Norwegian Embassy (Embassy of Norway)
Royal Norwegian Information Service

NETHERLANDS ANTILLES
Bank van de Nederlandse Antillen (Bank of the Netherlands
Antilles)
Government of the Netherlands Antilles
Ministry of Finance

OMAN (MUSCAT AND OMAN)
Central Bank of Oman
Consulate of Oman
Defense Office
Embassy of the Sultanate of Oman
Muscat Currency Authority
Oil Fund
Oman Permanent Mission to the United Nations
State General Reserve Fund
Sultanate of Oman

NEW CALEDONIA
L'agence de l'IEOM à la Nouvelle-Calédonie (IEOM –
Institut d'Emission d'Outre mer)
Ministry of Economy and Finance
Territory of New Caledonia and Dependencies
NEW ZEALAND
Consulate of New Zealand
Dominion of New Zealand
Embassy of New Zealand
New Zealand Permanent Mission to the United Nations
New Zealand Superannuation Fund
New Zealand Trade Commission
New Zealand Treasury
Office of Commercial Attache
Reserve Bank of New Zealand

PAKISTAN
Consulate of Pakistan
Embassy of Pakistan
Islamic Republic of Pakistan
Office of Defense Procurement Attache
Office of Educational and Cultural Attache
Pakistan Trade Office
Pakistani Permanent Mission to the United Nations
State Bank of Pakistan
State of Pakistan

NICARAGUA
Banco Central de Nicaragua (Central Bank of Nicaragua)
Consulate of the Republic of Nicaragua

56

PANAMA
Consulate of the Republic of Panama
Embassy of the Republic of Panama
Ministerio de Hacienda y Tesoro
National Bank of Panama (Banco Nacional de Panama)
Panamian Permanent Mission to the United Nations
Republic of Panama

Ministry of Finance
Ministry of Foreign Affairs
Ministry of Foreign Trade
Ministry of Maritime Economy
National Bank of Poland (Narodowy Bank Polski)
Office of Defense Attache
Office of Economic and Financial Counselor
Polish American Supply Corporation
Republic of Poland
Polish Permanent Mission to the United Nations

PALAU
Compact Trust Fund
Consulate of the Republic of Palau
Embassy of the Republic of Palau
Ministry of Finance
Republic of Palau Social Security System
Republic of Palau

PORTUGAL
Agencia Financial de Portugal
Banco de Portugal (Bank of Portugal)
Casa de Portugal
Com mercial Office
Consulate of Portugal
Embassy of Portugal
Office of Defense, Military, Naval and Air Attache
Portuguese Permanent Mission to the United Nations
Portuguese Republic

PAPUA NEW GUINEA
Bank of Papua New Guinea
Consulate of Papua New Guinea
Embassy of Papua New Guinea
Independent State of Papua New Guinea
Ministry of Finance and Treasury

QATAR
Consulate of the State of Qatar
Embassy of the State of Qatar
Ministry of Finance
Offices of Medical, Cultural & Military Attache
Qatar Central Bank
Qatar Investment Authority
Qatar Permanent Mission to the United Nations
State of Qatar

PARAGUAY
Banco Central del Paraguay (Central Bank of Paraguay)
Consulate of Paraguay
Embassy of Paraguay
Paraguayan Permanent Mission to the United Nations
Office of Commercial and Economic Affairs
Office of Defense Attache
Office of Press and Information Affairs
Office of Visa and Consular Affairs
Republic of Paraguay

REUNION
Department of Reunion, French Republic
L'agen ce de l'IEDOM à la Reunion (IEDOM –
Institut d'Emission des Departements d'Outre mer)

PERU
Banco Central de Reserva del Peru (Central Reserve Bank of
Peru)
Consulate of Peru
Embassy of Peru
Office of Air Attache to the Peruvian Embassy
Office of Joint Fight Against Drugs
Office of Military Attache
Office of Peruvian Naval Commissioner & Attache
Peruvian Permanent Mission to the United Nations
Republic of Peru

ROMANIA
Consulate of Romania
Embassy of Romania
Government of Romania
National Bank of Romania
Office of Defense, Military, Naval and Air Attache
Office of Economic Counselor
Romanian Permanent Mission to the United Nations

PHILIPPINES
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
Com mercial Office
Consulate of the Republic of the Philippines
Embassy of the Republic of the Philippines
Office of Armed Forces of the Philippines Attache
(Procurement Mission Fund)
Office of Commercial Counselor
Philippine Constabulary
Philippine Permanent Mission to the United Nations
Philippine Purchasing Agency
Philippine Relief and Trade Rehabilitation Administration
Republic of the Philippines
Tourism Office of the Philippines

RUSSIA
Central Bank of Russia (Bank Russii)
Consulate of the Russian Federation
Embassy of the Russian Federation
Ministry of Finance
National Wealth Fund
Office of Defense, Military, Naval and Air Attache
Office of Fisheries Attache
Office of Information
Office of Trade
Office of Trade Representative of the Russian Federation
Reserve Fund
Russian Cultural Centre
Russian Federation
Stabilization Fund of the Russian Federation

POLAND
Com mercial Office
Consulate of the Republic of Poland
Embassy of the Republic of Poland

57

RWANDA
Banque Nationale du Rwanda (National Bank of Rwanda)
Consulate of the Republic of Rwanda
Embassy of the Republic of Rwanda
Republic of Rwanda
Rwanda Permanent Mission to the United Nations

Ministry of Finance
Office of Defense and Armed Forces Attache
Office of Saudi Arabian National Guard
Public Investment Fund
Royal Consulate of Saudi Arabia
Royal Embassy of Saudi Arabia (Embassy of Saudi Arabia)
Saudi Arabian Cultural Mission
Saudi Arabian Monetary Agency (SAMA)
Saudi Arabian Permanent Mission to the United Nations
Saudi Fund for Development (SFD)

ST. HELENA
Commissioners of Currency
Currency Fund
Department of Finance
Government of Saint Helena

SENEGAL
Consulate of the Republic of Senegal
Embassy of the Republic of Senegal
Office of Defense, Air & Military Attache
Ministry of Economy and Finance
Republic of Senegal
Senegalese Permanent Mission to the United States

ST. KITTS AND NEVIS
Consulate of St. Kitts and Nevis
Embassy of St. Kitts and Nevis
Federation of Saint Kitts and Nevis
Ministry of Finance
ST. LUCIA
Consulate of Saint Lucia
Embassy of Saint Lucia
Government of Saint Lucia
Ministry of Finance, International Financial Services
and Economic Affairs

SERBIA and MONTENEGRO and KOSOVO
Banking and Payment Authority of Kosovo
Central Bank of Montenegro (Centrale banka crne gore)
Consulate of Kosovo
Consolate of Montenegro
Consulate of Serbia
Embassy of Kosovo
Embassy of Montenegro
Embassy of Serbia
Ministry of Finance of the Republic of Kosovo
Ministry of Finance of the Republic of Montenegro
Ministry of Finance of the Republic of Serbia
National Bank of Serbia (Narodna banka Srbije)
Republic of Kosovo
Republic of Montenegro
Republic of Serbia

ST. PIERRE AND MIQUELON
L'agence de l'IEDOM à Saint-Pierre et Miquelon (IEDOM –
Institut d'Emission des Departements d'Outre mer)
Territorial Collectivity of Saint Pierre and Miquelon
ST. VINCENT AND THE GRENADINES
Consulate of Saint Vincent and the Grenadines
Embassy of Saint Vincent and the Grenadines
Government of Saint Vincent and the Grenadines
Ministry of Finance

SEYCHELLES
Central Bank of Seychelles
Consulate of the Republic of Seychelles
Embassy of the Republic of Seychelles
Republic of Seychelles
Seychelles Permanent Mission to the United Nations

SAMOA (formerly WESTERN SAMOA)
Bank of Samoa
Central Bank of Samoa
Consulate of the Independent State of Samoa
Embassy of the Independent State of Samoa
Independent State of Samoa
Monetary Board of Samoa

SIERRA LEONE
Bank of Sierra Leone
Embassy of Sierra Leone
Republic of Sierra Leone
Sierra Leone Permanent Mission to the United Nations

SAN MARINO
Central Bank of the Republic of San Marino
Consulate of the Republic of San Marino
Republic of San Marino
San Marinese Institute of Credit

SINGAPORE
Board of Commissioners of Currency
Consulate of the Republic of Singapore
Embassy of the Republic of Singapore
Government of Singapore Investment Corporation (GSIC)
Ministry of Finance
Monetary Authority of Singapore
Republic of Singapore
Singapore Permanent Mission to the United Nations
Temasek Holdings

SAO TOME and PRINCIPE
Central Bank of Sao Tome and Principe
(Banco Central de Sao Tome e Principe)
Consulate of the Democratic Republic of Sao Tome and
Principe
Democratic Republic of Sao Tome and Principe
Sao Tome and Principe Permanent Mission to the United
Nations
National Oil Account
SAUDI ARABIA
Com mercial Office
Kingdom of Saudi Arabia
M edical Office

58

SLOVAKIA
Consulate of the Slovak Republic
Embassy of the Slovak Republic
Government of the Slovak Republic
Office of the Commercial Section
National Bank of Slovakia (Narodna Banka Slovenska)
(central bank)
Slovak Permanent Mission to the United Nations

SRI LANKA
Central Bank of Sri Lanka
Consulate of the Democratic Socialist Republic of Sri Lanka
Democratic Socialist Republic of Sri Lanka
Embassy of the Democratic Socialist Republic of Sri Lanka
Sri Lanka Permanent Mission to the United Nations
SUDAN
Bank of Sudan
Embassy of the Republic of the Sudan
Office of the Cultural Counselor
Office of Information Attache
Oil Revenue Stabilization Account
Republic of the Sudan
Sudanese Permanent Mission to the United Nations

SLOVENIA
Bank of Slovenia
Consulate of the Republic of Slovenia
Embassy of the Republic of Slovenia
Republic of Slovenia
SOLOMON ISLANDS
Central Bank of Solomon Islands
Embassy of the Solomon Islands
Ministry of Finance
Republic of Solomon Islands

SURINAME
Central Bank van Suriname (Central Bank of Suriname)
Consulate of the Republic of Suriname
Embassy of the Republic of Suriname
Republic of Suriname
Suriname Permanent Mission to the United Nations

SOMALIA
Central Bank of Somalia (Bankiga Dhexe ee Soomaaliya)
Embassy of Somali Republic
Somali Republic
Somalian Permanent Mission to the United Nations

SWAZILAND
The Central Bank of Swaziland
Embassy of the Kingdom of Swaziland
Kingdom of Swaziland
Monetary Authority of Swaziland
Swaziland Permanent Mission to the United Nations

SOUTH AFRICA
Agricultur al Office
Department of Finance
Embassy of the Republic of South Africa
Office of Communication Section
Office of Department of Trade and Industry
Office of Public Affairs
Republic of South Africa
Republic of South Africa Department of Customs
Republic of South Africa Government Supply Office
South African Consulate General
South African Permanent Mission to the United Nations
South African Reserve Bank
Technical Office

SWEDEN
Consulate of Sweden
Embassy of Sweden
Kingdom of Sweden
Sveriges Riksbank (Bank of Sweden)
Swedish Trade Council
Swedish Office of Science and Technology
Swedish Permanent Mission to the United Nations
Swedish Travel Information Bureau, Inc.
SWITZERLAND
Consulate General of Switzerland
Embassy of Switzerland
Schweizer ische Nationalbank (Banque Nationale Suisse)
(Swiss National Bank)
S wiss Confederation
Swiss Government Departments

SPAIN
Banco de Espana (Bank of Spain)
Consulate of Spain
Cultural Office
Economic & Commercial Office
Embassy of Spain
Financial Office
Foreign Market Services (Servicios de Mercandos Extranjeros)
Instituto Espanol de Moneda Extranjera
Kingdom of Spain
National Spanish Tourist Office
Office of Air Attache
Office of Defense Attache
Office of Defense Cooperation Attache
Office of Education
Office of Information
Office of Labor and Social Affairs
Office of Military Attache
Office of Naval Attache
Spanish Agriculture Office
Spanish Commercial Office
Spanish Permanent Mission to the United Nations
Spa nish State

SYRIA
Central Bank of Syria (Masrif Suriyah al-Markaz)
Consulate of the Syrian Arab Republic
Embassy of the Syrian Arab Republic
Syrian Arab Republic
Syrian Permanent Mission to the United Nations

59

TAIWAN
Board of Supplies, Executive Yuban
The Central Bank of China (Taiwan)
China Defense Supplies incorporated
Chinese Petroleum Corporation
Joint Commission on Rural Reconstruction in Taiwan
National Stabilisation Fund
Ministry of Economic Affairs
Ministry of Finance
Republic of China
Taipei Economic Culture and Representative Office (TECRO)

TUNISIA
Banque Centrale de Tunisie (Central Bank of Tunisia)
Consulate of Tunisia
Emba ssy of Tunisia
Office of Defense Armed Forces Attache
Republic of Tunisia
Tunisian Information Office
Tunisian Permanent Mission to the United Nations
TURKEY
Consulate of the Republic of Turkey
Embassy of the Republic of Turkey
Office of Agricultural Counselor
Office of Commercial Counselor
Office of Defense Attache
Office of Defense, Air, Military & Naval Attache
Office of Economic Counselor
Office of Educational Counselor
Office of Financial and Customs Counselor
Office of Planning
Office of Press Counselor
Office of Social Affairs
Office of Tourism Counselor
Republic of Turkey
Republic of Turkey Purchasing Delegation
Turkish Economic Mission
Turkish Permanent Mission to the United Nations
Turkiye Cumhuriyet Merkez Bankasi
(Central Bank of the Republic of Turkey)

TAJIKISTAN
Consulate Republic of Tajikistan
Embassy Republic of Tajikistan
National Bank of the Republic of Tajikistan
Republic of Tajikistan
TANZANIA
Bank of Tanzania
Consulate of the United Republic of Tanzania
Embassy of the United Republic of Tanzania
Tanzanian Permanent Mission to the United Nations
United Republic of Tanzania
THAILAND
Bank of Thailand
Consulate of Thailand
Cultural Office
Embassy of Thailand (Royal Thai Embassy)
Kingdom of Thailand
Office of Air Attache
Office of Commercial Affairs
Office of Economic and Financial Affairs
Office of Education Affairs
Office of Education Counselor
Office of Industrial Affairs
Office of Information
Office of Military Attache
Office of Naval Attache
Office of Science and Technology
Siamese Fund
Thai Permanent Mission to the United Nations

TURKMENISTAN
Central Bank of Turkmenistan
Consulate of Turkmenistan
Embassy of Turkmenistan
Republic of Turkmenistan
TUVALU
Government of Tuvalu
Ministry of Finance, Economic Planning & Industry
National Bank of Tuvalu
UGANDA
Bank of Uganda
Embassy of the Republic of Uganda
Poverty Action Fund
Republic of Uganda
Ugandan Permanent Mission to the United Nations

TOGO
Consulate of the Republic of Togo
Embassy of the Republic of Togo
Ministry of Economy, Finance and Privatization
Republic of Togo

UKRAINE
Consulate of Ukraine
Embassy of Ukraine
National Bank of Ukraine
Government of Ukraine

TONGA
Consulate of the Kingdom of Tonga
Embassy of the Kingdom of Tonga
Kingdom of Tonga
National Reserve Bank of Tonga
TRINIDAD AND TOBAGO
Central Bank of Trinidad and Tobago
Consulate of the Republic of Trinidad and Tobago
Embassy of the Republic of Trinidad and Tobago
Heritage and Stabilization Fund
Republic of Trinidad and Tobago
Trinidad and Tobago Permanent Mission to the United Nations

60

UNITED ARAB EMIRATES
Abu Dhabi Fund for Arab Economic Development (ADFAED)
Abu Dhabi International Petroleum Investment Company
Abu Dhabi Investment Authority
Abu Dhabi Investment Company
Abu Dhabi Investment Council
Central Bank of United Arab Emirates
Cultural Office
Dubai Holding
Dubai International Capital
Dubai International Financial Center
Embassy of the United Arab Emirates
Government of Abu Dhabi
Government of Dubai
Government of United Arab Emirates
Investment Corporation of Dubai
Istithm ar
M edical Office
Mubadala Development Company
Office of Defense, Military, Naval and Air Attache
Ras Al Khaimah Minerals and Metals Investments (RMMI)
Ras Al Khaimah Investment Authority
United Arab Emirates Currency Board
United Arab Emirates Permanent Mission to the United
Nations

VANUATU
Consulate of the Republic of Vanuatu
Republic of Vanuatu
Reserve Bank of Vanuatu
VENEZUELA
Banco Central de Venezuela (Central Bank of Venezuela)
Consulate of the Bolivarian Republic of Venezuela
Embassy of the Bolivarian Republic of Venezuela
Banco de Desarrollo Economico Y Social de Venezuela
(BANDES)
Macroeconomic Stabilization Fund (FIEM)
Ministerio de Obras Publicas
National Development Fund (Fondon)
Office of Military and Air Attache
Office of Defense and Naval Attache
Office of Information Service
Republic of Venezuela
Venezuelan Permanent Mission to the United Nations
VIETNAM
Consulate of Vietnam
Embassy of Vietnam
Ministry of Finance
Ministry of Foreign Trade
Office of Defense Attache
Office of Trade
Socialist Republic of Vietnam
State Bank of Vietnam (Viet Bank)
Vietnamese Permanent Mission to the United Nations

UNITED KINGDOM
Bank of England
British Army Services
British Army Staff
British Embassy
British Joint Services Mission
British Merchant Navy Committee
British Ministry of Pensions
British Ministry of Transport
British Naval Welfare Fund
British Permanent Mission to the United Nations
British Supply Office
Consulate of Britain
Crown Agents
HM Treasury
Office of British Naval Staff
Office of Civil Aviation and Mission to the FAA
Office of Northern Ireland Bureau
R. A.F. Delegation
United Kingdom of Great Britain and Northern Ireland
United Kingdom Payments Office
United Kingdom Treasury and Supply Delegation

VIRGIN ISLANDS, BRITISH
Commissioner of Currency (British Virgin Islands)
Ministry of Finance
Government of British Virgin Islands
WALLIS AND FUTUNA
Department of Economic and Development Affairs
L'agence de l'IEOM à le Territoire des Îles Wallis et Futuna
(IEOM -- Institut d’Emission d’Outre-Mer)
Territory of the Wallis and Futuna Islands
YEMEN
Central Bank of Yemen
Consulate of the Republic of Yemen
Embassy of the Republic of Yemen
Republic of Yemen
Republic of Yemen Permanent Mission to the United Nations
ZAMBIA
Bank of Zambia
Embassy of the Republic of Zambia
Republic of Zambia
Zambian Permanent Mission to the United Nations

URUGUAY
Banco Central del Uruguay (Central Bank of Uruguay)
Consulate of Uruguay
Direccion de Credito Publico
Embassy of Uruguay
Office of Financial Affairs
Office of Military, Naval and Air Attache
Office of Trade Bureau
Oriental Republic of Uruguay
Uruguayan Permanent Mission to the United Nations

ZIMBABWE
Embassy of Republic of Zimbabwe
Republic of Zimbabwe
Reserve Bank of Zimbabwe
Zimbabwe Permanent Mission to the United Nations

UZBEKISTAN
Central Bank of the Republic of Uzbekistan
Consulate of the Republic of Uzbekistan
Embassy of the Republic of Uzbekistan
Republic of Uzbekistan

61

APPENDIX
F

62

APPENDIX F: LIST OF CURRENCY CODES5
Code
AFN
ALL
DZD
ADP
AOR
ARS
AMD
AWG
AUD
AZM
BSD
BHD
BDT
BBD
BYR
BZD
BMD
BTN
BOB
BWP
BAM
BRL
BND
BGN
BIF
KHR
CAD
CVE
KYD
XOF
XAF
XPF
CLP
CNY
COP
KMF
CDF
CRC
HRK
CUP

Currency
Afghanistan Afghani
Albanian Lek
Algerian Dinar
Andorran Peseta
Angolan Kwanza Reajustado
Argentine Peso
Armenian Dram
Aruban Guilder
Australian Dollar
Azerbaijanian New Manat
Bahamian Dollar
Bahraini Dinar
Bangladeshi Taka
Barbados Dollar
Belarussian Ruble
Belize Dollar
Bermudian Dollar
Bhutan Ngultrum
Bolivian Boliviano
Botswana Pula
Bosnia & Herzegovina
Convertible Marks
Brazilian Real
Brunei Dollar
Bulgarian Lev
Burundi Franc
Cambodian Riel
Canadian Dollar
Cape Verde Escudo
Cayman Islands Dollar
CFA Franc BCEAO
CFA Franc BEAC
CFP Franc
Chilean Peso
Chinese Yuan Renminbi
Colombian Peso
Comoro Franc
Congolais Franc
Costa Rican Colon
Croatian Kuna
Cuban Peso

Code
CYP
CZK
DKK
DJF
DOP
XCD
EGP
SVC
ERN
EEK
ETB
EUR
FKP
FJD
GMD
GEL
GHC
GIP
GTQ
GWP
GNF
GYD
HTG
HNL
HKD
HUF
ISK
INR
IDR
IRR
IQD
JMD
JPY
JOD
KZT
KES
KWD
KGS
LAK
LVL

63

Currency
Cyprus Pound
Czech Koruna
Danish Krone
Djibouti Franc
Dominican Peso
East Caribbean Dollar
Egyptian Pound
El Salvador Colon
Eritrea Nakfa
Estonia Kroon
Ethiopian Birr
European Union Euro
Falkland Islands Pound
Fiji Dollar
Gambia Dalasi
Georgia Lari
Ghana Cedi
Gibraltar Pound
Guatemala Quetzal
Guinea-Bissau Peso
Guinea Franc
Guyana Dollar
Haitian Gourde
Honduras Lempira
Hong Kong Dollar
Hungarian Forint
Iceland Krona
Indian Rupee
Indonesian Rupiah
Iranian Rial
Iraqi Dinar
Jamaican Dollar
Japanese Yen
Jordanian Dinar
Kazakhstan Tenge
Kenyan Shilling
Kuwaiti Dinar
Kyrgyzstan Som
Laos Kip
Latvian Lats

Code
LBP
LSL
LRD
LYD
LTL
MOP
MKD
MGF
MWK
MYR
MVR
MTL
MRO
MUR
MXN
MDL
MNT
MAD
MZM
MMK
NAD
NPR
ANG
ILS
TWD
NZD
NIO
NGN
KPW
NOK
OMR
PKR
PAB
PGK
PYG
PEN
PHP
PLN
GBP
QAR
ROL
RUB
RWF
SHP
WST

Currency
Lebanese Pound
Lesotho Lote
Liberian Dollar
Libyan Dinar
Lithuanian Litas
Macau SAR Pataca
Macedonian Denar
Malagasy Franc
Malawi Kwacha
Malaysian Ringgit
Maldives Rufiyaa
Maltese Lira
Mauritania Ouguiya
Mauritius Rupee
Mexican Peso
Moldovan Leu
Mongolian Tugrik
Moroccan Dirham
Mozambique New Metical
Myanmar Kyat
Namibia Dollar
Nepalese Rupee
Netherlands Antillean Guilder
New Israeli Shekel
New Taiwan Dollar
New Zealand Dollar
Nicaraguan Cordoba Oro
Nigerian Naira
North Korean Won
Norwegian Krone
Omani Rial
Pakistani Rupee
Panamanian Balboa
Papua New Guinea Kina
Paraguay Guarani
Peruvian New Sol
Philippine Peso
Polish Zloty
Pound Sterling
Qatari Rial
Romanian Leu
Russian Ruble
Rwanda Franc
Saint Helena Pound
Samoan Tala

Code
STD
SAR
SCR
SLL
SGD
SKK
SIT
SBD
SOS
ZAR
KRW
LKR
SDD
SRG
SZL
SEK
CHF
SYP
TWD
TJS
TZS
THB
TOP
TTD
TND
TRY
TMM
UGX
UAH
AED
USD
UYU
UZS
VUV
VEB
VND
YER
YUM
ZMK
ZWD

Currency
Sao Tome & Principe Dora
Saudi Arabian Riyal
Seychelles Rupee
Sierra Leone Leone
Singapore Dollar
Slovak Koruna
Slovenia Tolar
Solomon Islands Dollar
Somali Shilling
South African Rand
South Korean Won
Sri Lanka Rupee
Sudanese Dinar
Suriname Guilder
Swziland Lilangeni
Swedish Krona
Swiss Franc
Syrian Pound
Taiwan New Dollar
Tajikistan Somoni
Tanzanian Shilling
Thailand Baht
Tongan Pa’anga
Trinidad and Tobago Dollar
Tunisian Dinar
Turkish Yani
Turkmenistan Manat
Uganda New Shilling
Ukrainian Hryvnia
United Arab Emirates Dirham
United States Dollar
Uruguayo Peso
Uzbekistan Sum
Vanuatu Vatu
Venezuelan Bolivar
Vietnamese Dong
Yemeni Rial
Yugoslavian Dinar
Zambian Kwacha
Zimbabwean Dollar

APPENDIX
G

65

GLOSSARY
AMERICAN DEPOSITARY RECEIPT (ADR) - Negotiable certificates, typically issued by a U.S.resident company and backed by shares of stock issued by a foreign corporation. ADRs that
represent ownership of foreign securities are considered foreign securities and should not be
reported, even if issued by a U.S.-resident company.
ASSET-BACKED SECURITIES - Securitized interests in a pool of assets, which give the purchaser
a claim against the cash flows generated by the underlying assets. These pools may be derived
from mortgage loans, auto loans, credit card receivables, vehicle and equipment leases, consumer
loans, commercial loans or other assets. All asset-backed securities, including CMOs, CLOs, CBOs,
CDOs, and stripped asset-backed securities are reported as security type = 12 (asset-backed
security). (See Section III.D of the reporting instructions.)
BEARER BOND - Securities that are not registered in the name of their owner. The owner collects
interest and dividends upon presentation of detachable coupons to a bank or fiduciary agent.
Bearer bonds are reported as long-term debt securities, security type = 9 (bond or note,
unstripped).
BEARER BOOK-ENTRY SECURITIES - See Bearer Global Notes/Certificates.
BEARER GLOBAL NOTES/CERTIFICATES - Bearer notes issued to one or more dealers that are
represented by a single global note in bearer form and are intended to be the backing for
registered securities issued by the central security depository. (See global certificates.) Bearer
global notes/certificates held at a foreign-resident central securities depository are reportable. The
entire amount of the issue minus any amount known to be owned by U.S. residents should be
reported by the issuer as registered. If the identity of the beneficial foreign owner is not known, the
country of the foreign central securities depository should be reported in Schedule 2, item 14 and
the type of foreign holder should be reported as Other in Schedule 2, item 15.
CERTIFICATE OF DEPOSIT - See Negotiable Certificates of Deposit.
COLLATERALIZED MORTGAGE OBLIGATION (CMO) - Mortgage-backed securities, which give
the purchaser a claim against the cash flows generated by the underlying mortgages. CMOs are
usually characterized by a multi-tranche or multi-class serialized structure. Collateralized Mortgage
Obligations (CMOs) should be reported as security type = 12 (asset-backed security).

66

COMMERCIAL PAPER - A promissory note, either unsecured or backed by assets such as loans or
mortgages. They are usually sold at a discount and customarily having a fixed maturity of 270 days
or less. All commercial paper should be reported as security type = 5 (commercial paper).
COMMINGLED ACCOUNT - An account in which the investment funds of individual clients are
pooled, with each client owning portions of the pooled account. U.S. securities held in foreignresident commingled accounts should be reported.
COMMON STOCK - A security representing equity ownership in a corporation. Common stock
claims are subordinate to the claims of bondholders, preferred stockholders, and general creditors.
Common stocks are reported as security type = 1 (common stock).
CONVERTIBLE BOND - A bond that can be exchanged at a set price for equity securities by the
holder under certain conditions. Convertible debt securities issued by U.S.-residents that are
owned by foreigners are reported as security type = 7 (convertible debt security).
CUSTODIAN - A bank or other entity that manages or administers the custody or safekeeping of
stock certificates, debt securities, or other assets for institutional or private investors.
DEPOSITARY RECEIPTS - See American Depositary Receipts (ADR). Related types of depositary
receipts, such as Global Depositary Receipts, that are backed by foreign securities are considered
foreign securities and should not be reported.
DEPOSIT NOTES - A debt security issued by a bank, backed by federal deposit insurance up to
$100,000 in principal and interest. They pay a fixed rate of interest and can be issued in book
entry or certificate form. Deposit notes are reported as security type = 6 (negotiable CD).
DEPOSITORY - An entity that holds securities, either in certificated or uncertificated
(dematerialized) form, to enable the transfer of ownership of securities. Depositories are not
necessarily custodians, since they may be responsible only for registering and settling security
transactions. The major U.S. depository is Depository Trust and Clearing Corporation (DTCC).

67

DERIVATIVE CONTRACT - Financial instrument or other contract with all three of the following
characteristics:
1. (a) One or more underlyings; (b) one or more notional amounts; and (c)
payment provisions. These terms determine the amount of the settlement or
settlements, and, in some cases, whether or not a settlement is required.
2. Requires no initial investment, or an initial investment that is much smaller than
would be required for other types of contracts that would be expected to have a
similar response to changes in market factors.
3. The terms require or permit net settlement, it can readily be settled net by a
means outside the contract, or it provides for delivery of an asset that puts the
recipient in a position not substantially different from net settlement.
Derivative contracts are excluded from this report. Embedded derivatives that are not bifurcated
from the host contract should be included in the value of the host contract. However, if the
embedded derivative is bifurcated from the host contract, the derivative should be excluded from
this report.
DIRECT INVESTMENT - A direct investment relationship exists when a U.S. company owns 10%
or more of the voting equity securities of an incorporated foreign business (or an equivalent
interest in an unincorporated foreign business, including a branch), or when a foreign company
owns 10% or more of the voting equity securities of an incorporated U.S. business (or an
equivalent interest in an unincorporated U.S. business, including a branch). Limited partners in a
limited partnership do not have voting rights and therefore cannot have direct investment. (See
Section III.K.) If a direct investment relationship exists, then in general, all financial positions
between the firms are considered direct investment. If a direct investment relationship exists
between non-banking entities, all securities held by the parent entity that were issued by the
affiliate of the parent are considered direct investment. However, if one of the entities is a
banking or securities brokerage firm, the inter-company holdings are considered direct
investment only if they provide permanent capital. All holdings known to be direct
investment should be excluded from this report.
FOREIGN BANK - A bank located in a foreign country and organized under the laws of that
country.

68

FOREIGN-RESIDENT (FOREIGN, FOREIGNER) - Any individual, corporation, or other entity
legally established outside of the United States, regardless of the actual center of economic activity
of the entity. Thus, a corporation incorporated outside of the United States is a foreign resident
even if it has no physical presence outside the United States. Foreigners/foreign residents include:
1. Individuals, including citizens of the United States, residing outside of the United States. (This
includes individuals that have filed an IRS Form W-8, indicating that the individual is a
nonresident alien. However, if an IRS Form is not available, the mailing address can be used to
determine residency.)
2. Any corporation or other entity legally established outside of the United States, including
branches, subsidiaries and other affiliates of U.S. entities located abroad.
3. Foreign governments and any subdivision, agency or instrumentality thereof, including all
foreign official nonbanking institutions, even if located in the United States (e.g., an embassy,
consulate, or other diplomatic establishment of a foreign country).
4. Official international or regional organizations or subordinate or affiliated agencies thereof,
created by treaty or convention between sovereign states, even if located in the United States,
including the International Bank for Reconstruction and Development (IBRD or World Bank), the
International Monetary Fund (IMF), and the United Nations (UN). (See Appendix D for a list of
international and regional organizations.)
FOREIGN SECURITIES - See Section III.C.
FOREIGN-RESIDENT CUSTODIAN - A custodian located outside the United States, including a
foreign affiliate of a U.S.-resident custodian. Reporters should determine the location of a
custodian according to the country in which the custodian is incorporated, or otherwise legally
established, not according to the country of the custodian’s parent firm, and not according to the
location of the custodian’s operations center.
FOREIGN-RESIDENT SUBCUSTODIAN - A foreign institution that holds in custody or safekeeps
foreign securities for U.S.-resident custodians.
FUNDS - Pooled, separate and general investment accounts, including mutual funds (open and
closed end), country funds, exchange traded funds, unit investment trusts, collective-investment
trusts, hedge funds, and all other similarly pooled, commingled investment funds. Foreign
ownership of shares of U.S.-resident funds are reported as security type = 3 (fund shares),
regardless of the types of securities held by the fund. U.S. securities held for foreign-resident
funds should be reported in the same manner as the holdings of other foreign residents. (See

69

Section III.E for the correct reporting of funds.)
GLOBAL NOTES/CERTIFICATES - Notes issued to one or more dealers that are represented by
a single global note and are intended to be the backing for registered securities issued by the
central security depository. Global notes/certificates held at a foreign-resident central securities
depository are reportable. The entire amount of the issue minus any amount known to be owned
by U.S. residents should be reported. If the identity of the beneficial foreign owner is not known,
the country of the foreign central securities depository should be reported in Schedule 2, item 14
and the type of foreign holder should be reported as Other in Schedule 2, item 15.
INDIVIDUALS - Natural persons. On item 15 on Schedule 2, enter 2 if the foreign holder of the
U.S. security is a natural person who does not use a foreign custodian. That is, the reporter is
holding the security directly for the individual.
INVESTMENT TRUST SHARE - A share of a company bound by a trust deed issued in registered
form, formed to invest in specific types of securities. Shares in an investment trust can usually be
bought and sold only through the stock exchange. Sometimes referred to as a ‘closed-end’ fund.
Foreign ownership of U.S. investment trust shares are reported as security type = 3 (fund shares),
regardless of the types of securities held by the trust.
LONG-TERM - No contractual maturity or an original maturity of more than one year.
MUNICIPAL BONDS - Debt securities issued by state and local governments. Municipal bonds
are reportable.
NEGOTIABLE CERTIFICATE OF DEPOSIT - Deposits evidence by a negotiable instrument, or a
deposit in book entry form evidence by a receipt or similar acknowledgement issued by a bank,
which provides on its face that the amount of such deposit is payable to the bearer or any specified
person. Report as security type = 6 (negotiable CD).
PREFERRED STOCK - Equity securities with preferences to the common stock of the issuer.
Preferred stock is usually entitled to dividends stated as a fixed dollar amount or as a percentage of
par value before any dividend can be paid on the common stock and have priority over common
shares in the event of liquidation. Preferred stock are reported as security type = 2 (preferred
stock).

70

REPURCHASE AGREEMENT (REPO) - A transaction involving the sale of financial assets by one
party to another, subject to an agreement for the seller to repurchase the assets at a specified
price on a future date. A resale agreement (also known as a reverse repurchase agreement) is the
same transaction viewed from the opposite perspective. Securities sold or purchased under
repurchase (resale) agreements should be reported as if the transaction had not occurred. (See
Section III. F of the reporting instructions.)
SECURITY - Any bill, note, bond, debenture, stock, negotiable money market instrument, or
similar instrument that is commonly referred to as a security. See Section III.B for a list of
reportable U.S. securities.
SETTLEMENT DATE - The date a security is delivered to the purchaser.
SETTLEMENT DATE ACCOUNTING - Under settlement date accounting the purchase and sale of
assets are not recorded until the settlement date. Settlement date accounting should be used for
purposes of this report.
SHORT-TERM - Original maturity of one year or less.
STATE OR LOCAL GOVERNMENT - The fifty states of the United States and the District of
Columbia, Puerto Rico and the U.S. territories and possessions, and their political subdivisions,
including counties, municipalities, school districts, irrigation districts, and drainage and sewer
districts.
STRIPS - An acronym for Separately Traded Registered Interest and Principal Securities. These
securities are created by "stripping" coupon payments from securities and treating these coupons
as separate securities from the principal. Stripped non-asset-backed securities are reported as
security type = 10 (bond or note, stripped). Stripped asset-backed securities are reported as
security type = 12 (asset-backed security).
STRUCTURED NOTE OR BOND - A financial instrument created specifically to meet the needs of
one or a small number of investors. Some of the more common structures include: step-up bonds,
index-amortizing notes, dual index notes, deleveraged bonds, range bonds, and inverse floaters.
Structured notes or bonds are reportable.

71

SUBSIDIARY - A company in which another company (parent) owns 50 percent or more of the
voting securities or an equivalent interest, or meets the consolidation requirement of U.S. GAAP.
U.S. TREASURY SECURITIES - Debt instruments that are direct obligations of the United States
Treasury. These instruments include Treasury bills that have an original maturity of one year or
less, Treasury notes that are intermediate-term (original maturity of 1-10 years) and Treasury
bonds that have an original maturity of 10 years or more. U.S. Treasury securities are reportable.
UNITED STATES - The fifty (50) States of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, and the
following: American Samoa, Baker Island, Guam, Howland Island, Jarvis Island, Johnston Atoll,
Kingman Reef, Midway Islands, Navassa Island, Palmyra Atoll, the U.S. Virgin Islands, and Wake
Island.
UNIT INVESTMENT TRUST - A fixed portfolio of securities that are assembled by an underwriter
sponsor and upon completion of the underwriting, are deposited with an independent trustee. Unit
investment trusts have a definite termination date, usually between 6 months and 10 years. Unit
investment trust securities are reported as security type = 3 (fund shares), regardless of the
maturity date or the types of securities purchased. U.S. securities held for foreign-resident unit
investment trusts should also be reported. (See Section III.E for the correct reporting of unit
investment trusts.)
U.S. RESIDENT - Any individual, corporation, or other entity incorporated or otherwise legally
established in the United States, including branches, subsidiaries and affiliates of foreign entities
located in the United States. Corporations incorporated in the United States are considered to be
U.S. residents even if they have a de minimus "physical presence" in the United States.
U.S.-RESIDENT CUSTODIAN - A custodian located in the United States, including a U.S.-resident
affiliate of a foreign custodian.
U.S.-RESIDENT ISSUER - Any individual, corporation, or other entity located in the United States
that issues securities in its own name, including U.S.-resident affiliates of foreign entities.
ZERO-COUPON SECURITY - Bonds that do not provide interest payments. Zero-coupon bonds
usually have an issue price well below 100% of the face value with repayment on maturity at face
value or par. The investors’ return is the difference between the issue price and redemption value.

72

Zero-coupon bonds and notes are reported as security type = 8 (zero-coupon bond or note).

73

APPENDIX
H

74

Technical Information for Electronic Submission
Included in this appendix are instructions for how to properly prepare data in a file for
submission. Your entity must retain a copy of the data for a period of 24 months from the date
of the report’s submission.
I.

Requirements for submitting data via IESUB
9 Each file should contain data for only one Reporter Identification Number. If your entity
will be reporting using multiple Reporter Identification Numbers, the data pertaining to
each Reporter Identification Number must be reported in a separate file.
9 Your entity must agree to the Terms and Use for Internet Reporting. This information
can be found at: http://www.treasury.gov/resource-center/data-chart-center/tic/Pages/forms-sh.aspx
9 Your entity must have a connection to the Internet that supports the World Wide Web
(WWW). Your connection must not block or disable JavaScript.
9 Your entity must have a web browser program (Microsoft Internet Explorer 5.5 or
higher) that supports 128-bit Secure Sockets Layer (SSL) encryption. 128-bit encryption
is used for all communication between you and the Federal Reserve System.
9 All Schedule 1 information must be data entered before Schedule 2 data can be
submitted.
9 All files must be text files and have file names ending with .TXT (e.g.,
Schedue_2_Company_Name.TXT)

II.

Requirements for submitting data via CD
9 Each CD (media) should contain data for only one Reporter Identification Number. If
your entity will be reporting using multiple Reporter Identification Numbers, the data
pertaining to each Reporter Identification Number must be reported on separate media.
9

75

9 Each media for a particular Reporter Identification Number must be accompanied by a
paper format Schedule 1.
9 A dump or print out that includes at least the first ten detail records should accompany
each media.
9 Include a printout of the command string used to create the file if the file was created
directly from the mainframe.
9 Include any special instructions on how to unload the file.
9 All Schedule 2 data must be provided in a standard DOS, ASCII flat file the following
media:
•

Standard 700 MB CD(s)

Data must be submitted by August 31, 2009 to:
Federal Reserve Bank of New York
Statistics Function, 4th Floor
33 Liberty Street
New York, NY 10045-0001
Should you have any questions concerning the instructions in this appendix, please contact the
FRBNY automation staff at 212-720-1989 or 646-720-1989.

76

III. Electronic File Formats for both IESUB and CD Submissions
Reporters must use either a semicolon-delimited format or positional format. The layouts and
examples of each follows.
Semicolon Delimited Format
Data Field and Instructions
Reporter Identification Number
Delimiter Sem
Sequence Number (value from 1 - maximum number of records)
Delimiter Sem
Reporting Unit
Delimiter Sem
Name of Reporting Unit
Delimiter Sem
Custodian/Issuer Code
Delimiter Sem
Security ID
Delimiter Sem
Security ID System (Refer to Schedule 2, Page 1)
Delimiter Sem
Security ID System Description
Delimiter Sem
Security Description
Delimiter Sem
Name of Issuer
Delimiter Sem
Type of Issuer (Refer to Schedule 2, Page 1)
Delimiter Sem
Security Type (Refer to Schedule 2, Page 1)
Delimiter Sem
Intentionally Left Blank
Delimiter Sem
Term Indicator (Debt and ABS Only; Otherwise Leave Null)
Delimiter Sem
Currency of Denomination (Refer to Appendix F)
Delimiter Sem
Country of Foreign Holder (Refer to Appendix D and E)
Delimiter Sem
Type of Foreign Holder (Refer to Appendix D and E)
Delimiter Sem
US$ Fair (Market) Value of Foreign Security Owned
Delimiter Sem
Fair (Market) Value of Security Owned Denominated in the
Currency of Issue
Delimiter Sem
Intentionally Left Blank
Delimiter Sem

77

Field
Format
N10 1
i-colon
N7 2
i-colon
N3 3
i-colon
A80 3a
i-colon
A1 4
i-colon
A12 5
i-colon
N1 6
i-colon
A80 6a
i-colon
A80 7
i-colon
A80 8
i-colon
N1 9
i-colon
N2 10
i-colon
N1 11
i-colon
N1 12
i-colon
A3 13
i-colon
N5 14
i-colon
N1 15
i-colon
N16 16
i-colon
N25
i-colon
N1 17
i-colon

Schedule 2
Item Number

16a

Number of Shares (Equity only; Otherwise Null)
Delimiter Sem
Face Value in Currency of Denomination (non-ABS debt only;
Otherwise Null)
Delimiter Sem
Issue Date (MMDDYYYY) (non-ABS debt only; Otherwise Null)
Delimiter Sem
Maturity Date (MMDDYYYY) (non-ABS debt only; Otherwise
Null)
Delimiter Sem
Original Face Value in Currency of Denomination (ABS only;
Otherwise Null)
Delimiter Sem
Remaining Principal Outstanding in Currency of Denomination
(ABS only; Otherwise Null)
Delimiter Sem
Issue Date (MMDDYYYY) (ABS only; Otherwise Null)
Delimiter Sem
Maturity Date (MMDDYYYY) (ABS only; Otherwise Null)

N11 18
i-colon
N25 19
i-colon
N8 20
i-colon
N8 21
i-colon
N25 22
i-colon
N25 23
i-colon
N8 24
i-colon
N8 25

Data Specifications
In addition to the instructions in the above table, follow these instructions:
•

Semi-colons must be used as space-delimiters between fields.

•

No special characters should be present in numeric fields (e.g. currency signs, commas,
negative signs, slashes, etc.).

•

All numeric fields should be unpacked, unsigned and with leading zeros.

•

A format specification of N12 is numeric, with length of up to 12.

•

A format specification of A80 is alphanumeric, with length of up to 80.

•

Issue Date and Maturity Date fields should be in the format of MMDDYYYY with leading zero
for months January-September and for the 1st to the 9th day of the month

(e.g. 01092004 = January 9, 2004).

78

External Label (Affix to media, not to cover)
Company Name
Reporter Identification Number as assigned by the FRBNY
Data Processing Contact Name and Telephone Number
CD Identification Number (as identified in your records)
Total Number of CD: 1 of __
Creation Date
Contents: 2009 Report of Foreign Holdings of U.S. Securities, Including Selected Money Market
Securities (SHL)

79

Sample Equity Record
2

3a

5

3

1

4

8
6

9

7

13

11

15

16

16a

0004567890;1;123;tim & sarit’s bank;2;ZYXWVUTSRQPO;2;;common stock;tim & sarit’s bank;4;01;;;USD;42005;2;999999999;999999999;; 900000; ; ; ; ; ; ;
6a
18

19

20

21

22

23

24

17
10

25

12

1. Reporter Identification Number = 0004567890 (MUST be exactly ten characters)
2. Sequence Number (can also be of format: 0000001)
3. Reporting Unit Code (internal code to identify the area within your organization that the data came from)
3a. Name of Reporting Unit (can be up to 80 characters in length)
4. Custodian / Issuer Code (1 = Custodian; 2 = Issuer)
5. Security ID (can be up to 12 characters in length)
6. Security ID System
6a. For Security ID System of "Other" (9) enter the name of the organization or system that assigned the Security ID
7. Security Description (can be up to 80 characters in length)
8. Name of Issuer (can be up to 80 characters in length)
9. Type of Issuer (use issuer types listed on Schedule 2, Page 1)
10. Security Type (use security types listed on Schedule 2, Page 1)
11. Intentionally Left Blank
12. Term Indicator (debt and ABS only; based on original maturity)
13. Currency of Denomination (use currency codes listed in Appendix F)
14. Country of Foreign Holder (use country codes listed in Appendix C)
15. Type of Foreign Holder (See Appendix D and E)
16. US$ Fair (Market) Value of Foreign Owned U.S. Security (can be up to 16 characters in length)
16a. Fair (Market) Value in Currency of Denomination of Foreign Owned U.S. Security (can be up to 25 characters in length)
17. Intentionally Left Blank
18. Number of Shares – rounded to the nearest share (can be up to 11 characters in length)
19. Face Value in Currency of Denomination – must be null for an equity record
20. Issue Date: MMDDYYYY format – must be null for an equity record
21. Maturity Date: MMDDYYYY format – must be null for an equity record
22. Original Face Value in Currency Denomination – must be null for an equity record
23. Remaining Principal Outstanding in Currency of Denomination – must be null for an equity record
24. Issue Date: MMDDYYYY format – must be null for an equity record
25. Maturity Date: MMDDYYYY format – must be null for an equity record

14

Null field

Note: Null fields are to be included. They are represented by the inclusion of a delimiter as if a value were present. e.g. - ;desc; ;

80

Sample Asset-Backed Long-term Debt Record
1

2

3a

3

4

5

20
6

7

9

11

13

15

16a

21

18

0004567890;3;123; tim & sarit’s bank;1;DEFGHIJKLMNO;2;;FNMA-30 year 6%;FNMA;2;12;;2;USD;29998;1;500000;500000; ; ; ; ; ;
600000;500000;05081976;05082006
6a
22

23

24
0

8

10

12

16

14

17

25
0

1. Reporter Identification Number = 0004567890 (MUST be exactly ten characters)
2. Sequence Number (can also be of format: 0000003)
3. Reporting Unit Code (internal code to identify the area within your organization that the data came from)
3a. Name of Reporting Unit (can be up to 80 characters in length)
4. Custodian / Issuer Code (1 = Custodian; 2 = Issuer)
5. Security ID (can be up to 12 characters in length)
6. Security ID System
6a. For Security ID System of "Other" (9) enter the name of the organization or system that assigned the Security ID
7. Security Description (can be up to 80 characters in length)
8. Name of Issuer (can be up to 80 characters in length)
9. Type of Issuer (use issuer types listed on Schedule 2, Page 1)
10. Security Type (use security types listed on Schedule 2, Page 1)
11. Intentionally Left Blank
12. Term Indicator (debt and ABS only; based on original maturity)
13. Currency of Denomination (use currency codes listed in Appendix F)
14. Country of Foreign Holder (use country codes listed in Appendix C)
15. Type of Foreign Holder (See Appendix D and E)
16. US$ Fair (Market) Value of Foreign Owned U.S. Security (can be up to 16 characters in length)
16a. Fair (Market) Value in Currency of Denomination of Foreign Owned U.S. Security (can be up to 25 characters in length)
17. Intentionally Left Blank
18. Number of Shares – must be null for any record other than equity
19. Face Value in Currency of Denomination – must be null for any record other than non-asset backed debt
20. Issue Date: MMDDYYYY format – must be null for any record other than non-asset backed debt
21. Maturity Date: MMDDYYYY format – must be null for any record other than non-asset backed debt
22. Original Face Value in Currency Denomination (can be up to 25 characters in length)
23. Remaining Principal Outstanding in Currency of Denomination (can be up to 25 characters in length)
24. Issue Date: MMDDYYYY format (e.g., 05081976 = May 8, 1976)
25. Maturity Date: MMDDYYYY format (e.g., 05082006 = May 8, 2006)
Null field

Note: Null fields are to be included. They are represented by the inclusion of a delimiter as if a value were present. e.g. - ;desc; ;
81

19

Sample Short-term/Long-term Debt Record (excluding Asset-Backed securities)
1

2

3

3a

4

5

6

7

8

13

9

12

15

16

18

0004567890;2;123;Tim & Sarit’s Bank;1;ABCDEFGHIJKLM;2;;5 ¾% Fixed 20 yr. Note;Sarit County;3;09;;2;USD;44709;2;1000000;1000000;;;
1000000;07211982;07212002;;;;
6a
19

20

21

22

23

24

10

11

14

25

1. Reporter Identification Number = 0004567890 (MUST be exactly ten characters)
2. Sequence Number (can also be of format: 0000002)
3. Reporting Unit Code (internal code to identify the area within your organization that the data came from)
3a. Name of Reporting Unit (can be up to 80 characters in length)
4. Custodian / Issuer Code (1 = Custodian; 2 = Issuer)
5. Security ID (can be up to 12 characters in length)
6. Security ID System
6a. For Security ID System of "Other" (9) enter the name of the organization or system that assigned the Security ID
7. Security Description (can be up to 80 characters in length)
8. Name of Issuer (can be up to 80 characters in length)
9. Type of Issuer (use issuer types listed on Schedule 2, Page 1)
10. Security Type (use security types listed on Schedule 2, Page 1)
11. Intentionally Left Blank
12. Term Indicator (debt and ABS only; based on original maturity)
13. Currency of Denomination (use currency codes listed in Appendix F)
14. Country of Foreign Holder (use country codes listed in Appendix C)
15. Type of Foreign Holder (See Appendix D and E)
16. US$ Fair (Market) Value of Foreign Owned U.S. Security (can be up to 16 characters in length)
16a. Fair (Market) Value in Currency of Denomination of Foreign Owned U.S. Security (can be up to 25 characters in length)
17. Intentionally Left Blank
18. Number of Shares – must be null for any record other than equity
19. Face Value in Currency of Denomination (can be up to 25 characters in length)
20. Issue Date: MMDDYYYY format (e.g., 07211982 = July 21, 1982)
21. Maturity Date: MMDDYYYY format (e.g., 07212005 = July 21, 2005)
22. Original Face Value in Currency Denomination – must be null for any record other than asset-backed debt
23. Remaining Principal Outstanding in Currency of Denomination – must be null for any record other than asset-backed debt
24. Issue Date: MMDDYYYY– must be null for any record other than asset-backed debt
Null field
25. Maturity Date: MMDDYYYY – must be null for any record other than asset-backed debt
Note: Null fields are to be included. They are represented by the inclusion of a delimiter as if a value were present. e.g. - ;desc; ;

82

16a

17

Positional Format (Record length = 555 characters)
Position

Data Field and Instructions

1-10
Reporter Identification Number
11 Filler
(space)
12-18
Sequence Number (value from 1 - maximum number of
records)
19 Filler
(space)
20-22
Reporting Unit Code
23 Filler
(space)
24-103
Name of Reporting Unit
104 Filler
(space)
105 Custodian/Issuer
Code
106 Filler
(space)
107-118 Security
ID
119 Filler
(space)
120
Security ID System (Refer to Schedule 2, Page 1)
121 Filler
(space)
122-201
Security ID System Description (Null Unless Item 6 = 9 –
Other)
202 Filler
(space)
203-282 Security
Description
283 Filler
(space)
284-363
Name of Issuer
364 Filler
(space)
365
Type of Issuer (Refer to Schedule 2, Page 1)
366 Filler
(space)
367-368
Security Type (Refer to Schedule 2, Page 1)
369 Filler
(space)
370
Intentionally Left Blank
371 Filler
(space)
372
Term Indicator (Debt and ABS Only; Otherwise Leave
Null)
373 Filler
(space)
374-376
Currency of Denomination (Refer to Appendix F)
377 Filler
(space)
378-382
Country of Foreign Holder (Refer to Appendix C)
383 Filler
(space)
384
Type of Foreign Holder (Refer to Appendix D and E)
385 Filler
(space)
386-401
US$ Fair (Market) Value of Foreign Security Owned
402 Filler
(space)
403-427
Fair (Market) Value of Security Owned Denominated in
the Currency of Issue
428 Filler
(space)
429
Intentionally Left Blank
430 Filler
(space)
431-441
Number of Shares (Equity only; Otherwise Null)
442 Filler
(space)
443-467
Face Value in Currency of Denomination (non-ABS debt
only; Otherwise Null)
468 Filler
(space)
469-476
Issue Date (MMDDYYYY) (non-ABS debt only;
Otherwise Null)
477 Filler
(space)
83

Field
Format
N10
Space
N7 2
Space
N3
Space
A80
Space
A1
Space
A12
Space
N1
Space
A80 6a
Space
A80
Space
A80
Space
N1
Space
N2
Space
N1
Space
N1 12
Space
A3
Space
N5
Space
N1
Space
N16
Space
N25
Space
N1
Space
N11
Space
N25 19
Space
N8 20
Space

Schedule 2
Item
1

3
3a
4
5
6

7
8
9
10
11

13
14
15
16
16a
17
18

478-485
486 Filler
487-511
512 Filler
513-537
538 Filler
539-546
547 Filler
548-555

Maturity Date (MMDDYYYY) (non-ABS debt only;
Otherwise Null)
(space)
Original Face Value in Currency of Denomination (ABS
only; Otherwise Null)
(space)
Remaining Principal Outstanding in Currency of
Denomination (ABS only; Otherwise Null)
(space)
Issue Date (MMDDYYYY) (ABS only; Otherwise Null)
(space)
Maturity Date (MMDDYYYY) (ABS only; Otherwise
Null)

N8 21
Space
N25 22
Space
N25 23
Space
N8
Space
N8 25

24

555 character logical records blocked at 60 logical records or a block size of 33,300 bytes.
Data Specifications
In addition to the instructions in the above table, follow these instructions:

•

No special characters should be present in numeric fields (e.g. currency signs, commas,
negative signs, slashes, etc.).

•

All numeric fields should be unpacked, unsigned, right justified with leading zeros, e.g.,
COBOL PIC 9(12). A format specification of N12 is numeric, with length of up to 12.

•

Alphanumeric data should be left justified and blank filled, e.g., COBOL PIC X(50). A
format specification of A80 is alphanumeric, with length of up to 80.

•

Issue Date and Maturity Date fields should be in the format of MMDDYYYY with leading zero
for months January-September and for the 1st to the 9th day of the month (e.g., 01092004
= January 9, 2004)

•

The filler should be a space, e.g., in COBOL PIC X value spaces.

•

Columns corresponding to null or not applicable items should be space filled

84

External Label for CD submissions (affix to media, not to cover)
Company Name
Reporter Identification Number as assigned by the FRBNY
Data Processing Contact Name and Telephone Number
CD Identification Number (as identified in your records)
Total Number of CD: 1 of __
Creation Date
Contents: 2009 Report of Foreign Holdings of U.S. Securities, Including Selected Money Market
Securities (SHL)

85

Below are sample equity, short-term/long-term debt (excluding asset-backed securities), and asset-backed debt records for the positional file
layout. For purposes of illustration only, a darkened circle(•) represents the filler referred to on pages 70-71 between fields and an open diamond
(◊) represents a field position where information can be entered.
Equity:
0004567890•◊◊◊◊◊◊1•123•TIM◊&◊SARIT’S◊BANK◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•
2•ZYXWVUTSRQPO•2•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•COMMON◊
STOCK◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•TIM◊&◊SARIT’S◊BANK◊◊◊◊◊◊◊◊◊◊◊◊◊
◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•4•01•◊•◊•USD•42005•2•◊◊◊◊◊◊◊999999999•◊◊◊◊◊◊◊◊◊◊◊◊◊◊
◊◊999999999•◊•◊◊◊◊◊900000•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•◊◊◊◊◊◊◊◊•◊◊◊◊◊◊◊◊•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•◊◊◊◊◊◊◊◊◊◊
◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•◊◊◊◊◊◊◊◊•◊◊◊◊◊◊◊◊

Short-term/Long-term Debt Record (excluding Asset-Backed securities):
0004567890•◊◊◊◊◊◊2•123•TIM◊&◊SARIT’S◊BANK◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•
1•ABCDEFHIJKLM•2•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•5◊¾%◊Fixed◊
20◊Yr◊Note◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•SARIT◊COUNTY◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊
◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•3•09•◊•2•USD•44709•2•◊◊◊◊◊◊◊◊◊1000000•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊1000000•

◊•◊◊◊◊◊◊◊◊◊◊◊•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊1000000•07211982•07212002•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•◊◊◊
◊◊◊◊◊•◊◊◊◊◊◊◊◊

Asset-Backed Long-term Debt Record:
0004567890•◊◊◊◊◊◊3•123•TIM◊&◊SARIT’S◊BANK◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•
1•DEFGHIJKLMNO•2•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•FNMA◊30◊Year◊
6%◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•FNMA◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊
◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•2•12•◊•2•USD•29998•1•◊◊◊◊◊◊◊◊◊◊500000•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊5000000•◊•
◊◊◊◊◊◊◊◊◊◊◊•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊•◊◊◊◊◊◊◊◊•◊◊◊◊◊◊◊◊•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊600000•◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊◊500000•
05081976•05082006

86

APPENDIX
I

87

LIST OF FEDERAL AGENCIES AND FEDERALLY SPONSORED ENTERPRISES
A. U.S. FEDERAL GOVERNMENT AGENCIES and CORPORATIONS
Architect of the Capital
Commodity Credit Corporation (CCC)
Department of Agriculture, including former Rural Electrification Administration (REA),
and former Farmers Housing Administration (FmHA).
Department of Defense and Military Services (e.g. Air Force)
Department of Housing and Urban Development (HUD)
Department of Interior
Export-Import Bank of the United States (Ex-Im Bank)
Federal Communication Commission (FCC)
Farm Credit System Financial Assistance Corporation (FCSFAC)
Federal Deposit Insurance Corporation (FDIC), including FSLIC Resolution Fund
Federal Housing Administration (FHA)
Financing Corporation (FICO)
General Services Administration (GSA)
Government National Mortgage Association (GNMA or Ginnie Mae)
Maritime Administration
National Archives and Records Administration (NARA)
National Consumer Cooperative Bank
Overseas Private Investment Corporation (OPIC)
Resolution Funding Corporation (REFCORP)
Rural Telephone Bank
Small Business Administration (SBA)
Tennessee Valley Authority (TVA), including lease obligations
Washington Metropolitan Area Transit Authority (WMATA)

B. FEDERALLY SPONSORED ENTERPRISES
Farm Credit System:
Agricultural Credit Bank (ACB)
Farm Credit Banks (FCB)
Federal Agricultural Mortgage Corporation (FAMC or Farmer Mac)
Federal Home Loan Banks (FHLB)
Federal Home Loan Mortgage Corporation (FHLMC or Freddie Mac)
Federal National Mortgage Association (FNMA or Fannie Mae)

88