Applications/structure change

Application for Federal Reserve Bank Stock (for use by de novo national banks)
The FR 2030 is an application for the issuance of Federal Reserve Bank stock and is submitted by de novo national banks. The application requires a resolution by the applying bank's board of directors authorizing the transaction, an indication of the capital and surplus of the bank, and an indication of the number of shares and dollar amount of Federal Reserve Bank stock to be purchased.

Application for Federal Reserve Bank Stock (for use by nonmember state banks converting into national banks)
The FR 2030a is an application for the issuance of Federal Reserve Bank stock and is submitted by nonmember state banks converting into national banks. The application requires a resolution by the applying bank's board of directors authorizing the transaction, an indication of the capital and surplus of the bank, and an indication of the number of shares and dollar amount of Federal Reserve Bank stock to be purchased.

Application for Adjustment in the Holding of Federal Reserve Bank Stock
The FR 2056 is an application for adjustment of holdings of Federal Reserve Bank stock and must be filed each time an adjustment is made. The application requires information on the capital and surplus of the bank and the amount by which Federal Reserve Bank stock should be increased or decreased.

Notification of Foreign Branch Status
This reporting form has been combined into the FR Y-10 (Report of Changes in Organizational Structure) effective June, 30, 2007.

Interagency Bank Merger Act Application
This application must be filed by a state member bank before merging or consolidating with an insured depository institution, acquiring its assets (either directly or indirectly), or assuming the liability for any of its deposits (either directly or indirectly). It collects information on the basic legal and structural aspects of the proposed merger, consolidation, other combined transactions between nonaffiliated parties, or corporate reorganization between affiliated parties. It also collects information from state member banks that propose to establish a branch or branches pursuant to section 9 of the Federal Reserve Act.

Interagency Notice of Change in Bank Control
An FR 2081 report must be filed before a transaction resulting in a change in ownership or management of a state member bank or a bank holding company. This interagency information collection consists of three forms: Notice of Change in Control (FR 2081a), Notice of Change in Director or Senior Executive Officer (FR 2081b), and Biographical and Financial Report (FR 2081c). The FR 2081a and FR 2081b provide a detailed description of a proposed change in ownership or management, respectively. The FR 2081c is used by individuals and is filed in conjunction with the other reports to provide supporting financial and employment data.

Interagency Notice of Change in Director or Senior Executive Officer
An FR 2081 report must be filed before a transaction resulting in a change in ownership or management of a state member bank or a bank holding company. This interagency information collection consists of three forms: Notice of Change in Control (FR 2081a), Notice of Change in Director or Senior Executive Officer (FR 2081b), and Biographical and Financial Report (FR 2081c). The FR 2081a and FR 2081b provide a detailed description of a proposed change in ownership or management, respectively. The FR 2081c is used by individuals and is filed in conjunction with the other reports to provide supporting financial and employment data.

Interagency Biographical and Financial Report
An FR 2081 report must be filed before a transaction resulting in a change in ownership or management of a state member bank or a bank holding company. This interagency information collection consists of three forms: Notice of Change in Control (FR 2081a), Notice of Change in Director or Senior Executive Officer (FR 2081b), and Biographical and Financial Report (FR 2081c). The FR 2081a and FR 2081b provide a detailed description of a proposed change in ownership or management, respectively. The FR 2081c is used by individuals and is filed in conjunction with the other reports to provide supporting financial and employment data.

Registration of a Securities Holding Company
The reporting requirements associated with Regulation OO implement section 618 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), which permits nonbank companies that own at least one registered securities broker or dealer, and that are required by a foreign regulator or provision of foreign law to be subject to comprehensive consolidated supervision, to register with the Board and subject themselves to supervision by the Board. The 2082 registration form asks for information on: the organization chart (including all subsidiaries), shareholders, senior officers and directors, methods used to monitor and control its operations, and foreign bank subsidiaries and the bank regulatory system in which these foreign bank subsidiaries operate.

Application for Membership in the Federal Reserve System
This application is a required one-time submission for institutions, other than national banks, seeking membership in the Federal Reserve System. The information provided on this application allows the Federal Reserve to evaluate the statutory criteria for admitting a new or existing bank into membership. The application collects financial and managerial information and information on competition and the convenience and needs of the community and is submitted to the appropriate Federal Reserve Bank. The FR 2083 provides general information and instructions with respect to membership. A related Application for Federal Reserve Bank Stock is submitted by state-chartered banks and mutual savings banks through the FR 2083A and FR 2083B respectively. The FR 2083C includes certifications to be provided by the applicant's organizers or directors.

Registration of a Nonbank Financial Company Designated by the Financial Stability Oversight Council for Supervision by the Board of Governors
The registration form collects information from nonbank financial companies designated by the Financial Stability Oversight Council (FSOC) for supervision by the Board. The FR2084 registration form asks for information on the organization chart (including all subsidiaries), shareholders, management officials, financial reports, and other general information about the company.

Application for Cancellation of Federal Reserve Bank Stock (for use by member banks in voluntary liquidation)
The FR 2086 is an application for the cancellation of Federal Reserve Bank stock. The FR 2086 requires a resolution by the applying bank's stockholders or board of directors.

Application for Cancellation of Federal Reserve Bank Stock (for use by member banks converting into or merging into member or nonmember banks)
The FR 2086a is an application for the cancellation of Federal Reserve Bank stock. FR 2086a requires a resolution by the applying bank's stockholders or board of directors.

Application for Cancellation of Federal Reserve Bank Stock (for use by insolvent member banks)
The FR 2087 is an application for the cancellation of Federal Reserve Bank stock. The FR 2087 is submitted by the appointed receiver of an insolvent member bank.

International Applications and Prior Notifications under Subparts A and C of Regulation K
The FR K-1 comprises a set of applications and notifications for banking organizations to establish foreign branches or Edge or agreement corporations, to invest in other foreign organizations, or to engage in new activities. They collect financial and managerial information and information on the company to be acquired or the activities to be engaged in.

International Applications and Prior Notifications Under Subpart B of Regulation K
The FR K-2 comprises a set of applications and notifications for foreign banking organizations seeking to open a branch, agency, or commercial lending company or representative office in the United States. The applications and notifications collect information on the operations, structure, and ownership of the applicant or notificant; the proposed office; the financial condition of the applicant or notificant; home country supervision; and the anti-money-laundering laws and regulations of the applicant or notificant's home country.

Savings and Loan Holding Company Registration Statement
This report is used to collect information from a newly-formed savings and loan holding company (SLHC).

Application for Conversion of a Mutual Holding Company to Stock Form
The FR MM-AC is used by a Mutual Holding Company (MHC) applying to convert from a mutual to a stock form of ownership pursuant to subpart E of Regulation MM. Applicants must generally comply with all of the requirements of subpart E of Regulation MM and must provide all information requested in the General Instructions to FR MM-AC. Each application must include, among other things, a formal plan of conversion that meets the requirements of section 239.54 of Regulation MM; appraisal (valuation) materials that meet the requirements of section 239.55(g)(2) of Regulation MM; proxy solicitation materials to be circulated to members of the MHC for approval of the plan of conversion; an offering circular; a business plan; and financial, managerial and capital information.

Offering Circular
A Mutual Holding Company (MHC) that files an application in connection with a stock issuance conducted as part of any transaction or proposal pursuant to the Home Owners' Loan Act (HOLA) and Regulation MM must file FR MM-OC with the appropriate Reserve Bank. An offering circular must accompany FR MM-OC and such offering circular must be prepared in accordance with applicable rules and regulations promulgated by the U.S. Securities and Exchange Commission (SEC).

Order Form
A Mutual Holding Company (MHC) that applies for Board approval of certain transactions or proposals pursuant to the Home Owners' Loan Act (HOLA) and Regulation MM, including conversions from mutual to stock form, must distribute an order form to all eligible account holders, supplemental eligible account holders, and other voting members to enable them to subscribe for the shares they are permitted under the proposed transaction. The MHC may either send the order forms with the offering circular or after it distributes the offering circular. Order forms must accompany FR MM-OF and must contain information that is consistent with information contained in documents that are otherwise required to be provided to the Board pursuant to Regulation MM (e.g., business plan, stock issuance plan, plan of conversion, reorganization plan, proxy solicitation materials). If applicable, order forms provided to the Board should be in the same format as any order forms that the applicant has provided to the SEC.

Proxy Statement
Information required by FR MM-PS, otherwise known as the proxy statement, and Regulation MM includes, among other things, the notice of the members' meeting; description of the voting rights of the mutual members; the vote required for approval of each matter presented for a vote; and business, financial, and managerial information of the organization. The FR MM-PS must be disclosed to all members prior to a member vote, and must be submitted to the appropriate Reserve Bank in connection with a notice to reorganize into mutual form or an application to convert from MHC to stock form. Subpart E of Regulation MM also contains certain additional procedural and informational requirements for proxy statements. Proxies requesting accountholder approval of an MHC reorganization or non-conforming minority stock issuance must also comply with the informational requirements of sections 239.10(a)(2) and 239.10(a)(3) of Regulation MM, respectively, as well as any other applicable federal and state laws and regulations.

Notice of Mutual Holding Company Reorganization
A mutual savings association that wishes to reorganize as a federally chartered Mutual Holding Company (MHC) under HOLA must submit a notice (FR MM-10(o)-1) to the Federal Reserve pursuant to section 239.3 of Regulation MM. The notice must include a copy of the savings association's reorganization plan. The reorganization plan must contain a complete description of all significant terms of the proposed reorganization; attach and incorporate any stock issuance plan proposed in connection with the reorganization plan; and comply with all of the other informational requirements specified in 12 CFR 239.6. In addition to the reorganization plan, a notice of reorganization must include, among other things, the information requested in the General Instructions to FR MM-10(o)-1, including proxy soliciting materials to be circulated to members of the reorganizing association; a business plan; evidence of the newspaper publication regarding the proposed transaction; financial, managerial and capital information; and information regarding the competitive effects of the proposed transaction. A copy of the reorganization plan must also be sent to members of the reorganizing association and any acquiree association (as defined in 12 CFR 239.2(a)). A notificant savings association may amend its filing or file additional information with respect to the filing upon its own initiative.

Application for Approval of a Stock Issuance by a Subsidiary Holding Company of a Mutual Holding Company
The FR MM-10(o)-2 is used by a subsidiary holding company of a Mutual Holding Company (MHC) that wishes to issue stock to any person other than its MHC parent pursuant to section 239.24 of Regulation MM. Applications regarding stock issuances by subsidiary holding companies provide the Federal Reserve with information to determine, among other things, whether the applicant would use the proceeds of the stock issuance appropriately and whether the proposed transaction would provide the organization with sufficient capital, meet the convenience and needs of the organization's communities, and ensure the rights of its members. An applicant must provide a stock issuance plan containing the information required by section 239.25 of Regulation MM, as well as the information requested in the General Instructions to FR MM-10(o)-2, including financial and capital information, the aggregate amount of outstanding common stock of the subsidiary holding company owned or controlled by persons other than the MHC parent, and the proposed price or price range of the stock to be issued.

Application for a Foreign Organization to Become a Bank Holding Company
In 2005, the FR Y-1f was renumbered and retitled as the FR Y-3F, the Application for a Foreign Organization to Acquire a U.S. Bank or Bank Holding Company. This modification was made to achieve consistency with the FR Y-3, the Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company (OMB No. 7100-0121).

Application to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
The application collects information on proposed bank holding company (BHC) formations, acquisitions, and mergers. The information includes the pro forma financial condition of the applicant and of its proposed subsidiary(ies), the competitive effects of the proposal, and the effect of the proposed action on the convenience and needs of the affected communities.

Application for a Foreign Organization to Acquire a U.S. Bank or Bank Holding Company
The FR Y-3F collects comprehensive and systematic data on the structure of the proposed transaction, on its likely competitive effects, on its likely effects on the convenience and needs of the public, and on the present and pro forma financial condition of the applicant and its proposed subsidiary(ies).

Notification to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
The notification collects information on proposed bank holding company (BHC) formations, acquisitions, and mergers. The FR Y-3N is filed by BHCs meeting certain qualifications described in Regulation Y and requires less information and processing time than the FR Y-3 application.

Notification by a Bank Holding Company to Acquire a Nonbank Company and/or Engage in Nonbanking Activities
The notification collects information on proposed nonbanking activities by bank holding companies (BHCs). Different levels of detail are provided from BHCs depending on whether they meet certain qualifying criteria and the types of nonbanking activities in which they wish to engage. The complete notification procedure requires the most detail, including information on the activities to be conducted, the companies involved in the activities, public benefits, and financial and managerial information. Less detail is required under the expedited notification and the post-consummation procedures. The information requirements for each procedure are specified in Regulation Y.

Changes in Investments and Activities of Top-Tier Financial Holding Companies, Bank Holding Companies, and State Member Banks
This form has been replaced by the FR Y-10 (Report of Changes in Organizational Structure).

Foreign Banking Organization Structure Report on U.S. Banking and Nonbanking Activities
This form has been replaced by the FR Y-10F (Report of Changes in FBO Organizational Structure).

Report of Changes in Organizational Structure
File the FR Y-10 online
This report provides data on organizational structural changes for the reportable companies listed in the respondent panel section below. There are eight schedules: Banking; Savings and Loan; Nonbanking; Merger; 4(k); Domestic Branch; Foreign Branches of U.S. Banking Organizations; and Branch, Agency, and Representative Office.

Report of Changes in FBO Organizational Structure
This reporting form has been combined into the FR Y-10 (Report of Changes in Organizational Structure) effective June, 30, 2007.

Supplement to the Report of Changes in Organizational Structure
This reporting form has been combined into the FR Y-10 (Report of Changes in Organizational Structure) effective June, 30, 2007.

Last Update: July 6, 2012