Annual Report of Merchant Banking Investments Held for an Extended Period (initial)

DRAFT

FR Y-9C
OMB Number 7100-0128
Approval expires July 31, 2018
Page 1 of 65

Board of Governors of the Federal Reserve System

Consolidated Financial Statements for
Holding Companies—FR Y-9C
Report at the close of business as of the last calendar day of the quarter
This Report is required by law: Section 5(c) of the Bank Holding
Company Act (12 U.S.C. § 1844) and Section 225.5(b) of Regulation Y
(12 C.F.R. § 225.5(b)) and Section 10 of the Home Owners Loan Act
(12 U.S.C. § 1467a(b)).
This report form is to be filed by holding companies with total
consolidated assets of $1 billion or more. In addition, holding
companies meeting certain criteria must file this report (FR Y-9C)
NOTE: Each holding company's board of directors and senior management are responsible for establishing and maintaining an effective system of internal control, including controls over the
Consolidated Financial Statements for Holding Companies. The
Consolidated Financial Statements for Holding Companies is to be
prepared in accordance with instructions provided by the Federal
Reserve System. The Consolidated Financial Statements for Holding
Companies must be signed and attested by the Chief Financial
Officer (CFO) of the reporting holding company (or by the individual
performing this equivalent function).

regardless of size. See page 1 of the general instructions for further information. However, when such holding companies own or
control, or are owned or controlled by, other holding companies,
only the top-tier holding company must file this report for the consolidated holding company organization. The Federal Reserve
may not conduct or sponsor, and an organization (or a person) is
not required to respond to, a collection of information unless it displays a currently valid OMB control number.
Date of Report:

September 30, 2015

2016

Month / Day / Year (BHCK 9999)

Section 5(c) of the BHC Act (12 U.S.C. § 1844(c)), section 10
of Home Owners' Loan Act (HOLA) (12 U.S.C. § 1467a(b)),
12 U.S.C. § 1850a(c)(1), section 165 of the Dodd-Frank Act
(12 U.S.C. § 5365), and section 252.153(b)(2) of Regulation
YY (12 CFR 252.153(b)(2)).

I, the undersigned CFO (or equivalent) of the named holding
company, attest that the Consolidated Financial Statements for
Holding Companies (including the supporting schedules) for this
report date have been prepared in conformance with the instructions issued by the Federal Reserve System and are true and
correct to the best of my knowledge and belief.

Printed Name of Chief Financial Officer (or Equivalent) (BHCK C490)

Legal Title of Holding Company (TEXT 9010)

Signature of Chief Financial Officer (or Equivalent) (BHCK H321)

(Mailing Address of the Holding Company) Street / PO Box (TEXT 9110)

Date of Signature (MM/DD/YYYY) (BHTX J196)

City (TEXT 9130)

State (TEXT 9200)

Zip Code (TEXT 9220)

Person to whom questions about this report should be directed:

Name / Title (BHTX 8901)
Area Code / Phone Number (BHTX 8902)

For Federal Reserve Bank Use Only
RSSD ID
C.I.

Area Code / FAX Number (BHTX 9116)

S.F.
E-mail Address of Contact (BHTX 4086)

Holding companies must maintain in their files a manually signed and attested printout of the data submitted.
Public reporting burden for this information collection is estimated to vary from 5 to 1,250 hours per response, with an average of 50.84 hours per response for non-Advanced Approaches HCs
and 52.09 hours for Advanced Approaches HCs, including time to gather and maintain data in the required form and to review instructions and complete the information collection. Comments
regarding this burden estimate or any other aspect of this information collection, including suggestions for reducing the burden, may be sent to Secretary, Board of Governors of the Federal
Reserve System, 20th and C Streets, NW, Washington, DC 20551, and to the Office of Management and Budget, Paperwork Reduction Project (7100-0128), Washington, DC 20503.
09/2015

2016