[Federal Register Volume 67, Number 74 (Wednesday, April 17, 2002)]
[Rules and Regulations]
[Pages 18793-18796]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-9241]



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 Rules and Regulations
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  Federal Register / Vol. 67, No. 74 / Wednesday, April 17, 2002 / 
Rules and Regulations  

[[Page 18793]]



FEDERAL DEPOSIT INSURANCE CORPORATION

12 CFR Part 304

RIN 3064-AC52


Technical Amendments to FDIC Regulation Relating to Forms, 
Instructions, and Reports

AGENCY: Federal Deposit Insurance Corporation.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The FDIC is revising its regulation on forms, instructions, 
and reports to make the information contained in it current. The 
revised regulation includes current FDIC addresses and websites, and 
updated descriptions of FDIC forms.

EFFECTIVE DATE: April 17, 2002.

FOR FURTHER INFORMATION CONTACT: Thomas E. Nixon, Senior Program 
Attorney, Office of the Executive Secretary, (202) 898-8766; Robert 
Walsh, Manager, Policy and Program Development Section, Division of 
Supervision (202) 898-6911; Philip Houle, Counsel, Legal Division (202) 
898-3722, Federal Deposit Insurance Corporation, 550 17th Street, NW., 
Washington, DC 20429.

SUPPLEMENTARY INFORMATION:

I. Background and Current Actions

    The FDIC's regulation, ``Forms, Instructions, and Reports'' informs 
the public where it may obtain forms and instructions for reports, 
applications and other submittals used by the FDIC and describes 
certain forms used by the FDIC, including the Consolidated Reports of 
Condition and Income (Call Report), that are not described elsewhere in 
FDIC regulations. It also implements requirements of the Federal 
Deposit Insurance Corporation Improvement Act (FDICIA), Public Law 102-
242 (Dec. 19, 1991), which require the inclusion of ``off balance 
sheet'' items in any financial reports from an insured institution to a 
Federal banking agency and for the FDIC to collect information on small 
business and small farm lending from insured depository institutions in 
their annual reports of condition.\1\
---------------------------------------------------------------------------

    \1\ FDICIA section 121, 12 U.S.C. 1831n(a)(3)(C) and FDICIA 
section 122, 12 U.S.C. 1817 note.
---------------------------------------------------------------------------

    This final rule updates the regulation to provide current 
information. It does not change any regulatory requirement imposed on 
the public by the FDIC, including any reporting or record keeping 
requirement. The FDIC is also publishing today in this document, 
directly following the final rule, a list of forms used by the FDIC 
that provides form numbers, descriptive titles, Paperwork Reduction Act 
clearance numbers, and citations to regulations that refer to the 
forms. This ``Forms Used by the FDIC'' list will not be codified into 
the Code of Federal Regulations, but will be periodically updated by 
the FDIC and made available to the public.

II. Public Comment Waiver and Effective Date

    As noted, this final rule updates information in part 304 and does 
not affect any regulatory requirement imposed by the FDIC on the 
public. The changes are matters of ``agency organization, procedure, or 
practice'' and are thus not subject to the general requirement of the 
Administrative Procedure Act (APA) for notice and comment, pursuant to 
5 U.S.C. 553(b)(A). The changes are also routine, technical, non-
substantive and insignificant in nature and impact. They are also 
inconsequential to the industry and the public, except to the extent 
that they correct errors, update information and improve access to 
information concerning forms, instructions and reports required by the 
FDIC. Thus, the FDIC finds, for good cause, that the APA notice-and-
comment provisions are unnecessary. 5 U.S.C. 553(b)(B).
    This final rule is also effective immediately, because: (a) The 
changes are routine, technical, and not substantive; (b) the public 
does not need a delayed period of time to conform or adjust; and (c) 
the current part 304 contains inaccurate information which should be 
corrected as promptly as possible. Therefore, it is determined that 
good cause exists for making these amendments effective on publication 
in the Federal Register, pursuant to 5 U.S.C. 553(d)(3).

III. Paperwork Reduction Act

    This final rule does not create or modify any collection of 
information pursuant to the Paperwork Reduction Act (44 U.S.C. 3501 et 
seq.). Consequently, no information has been submitted to the Office of 
Management and Budget for review.

IV. Regulatory Flexibility Act

    A regulatory flexibility analysis under the Regulatory Flexibility 
Act (RFA) is required only when an agency must publish a notice of 
proposed rulemaking. 5 U.S.C. 603 and 604. As already noted, the FDIC 
has determined that publication of a notice of proposed rulemaking is 
not necessary here. Accordingly, the RFA does not require a regulatory 
flexibility analysis.

V. Small Business Regulatory Enforcement Fairness Act

    The Small Business Regulatory Enforcement Fairness Act of 1996 
(SBREFA) (Pub. L. 104-121) provides generally for agencies to report 
rules to Congress for review. The reporting requirement is triggered 
when the FDIC issues a final rule as defined by the APA. 5 U.S.C. 551. 
Because the FDIC is issuing a final rule as defined by the APA, the 
FDIC will file the reports required by the SBREFA.
    The Office of Management and Budget has determined that this 
proposal does not constitute a ``major'' rule as defined by SBREFA.

VI. Assessment of Federal Regulations and Policies on Families

    The FDIC has determined that this final rule will not affect family 
well-being within the meaning of section 654 of the Treasury and 
General Government Appropriations Act, 1999, Public Law 105-277, 112 
Stat. 2681 (1998).

List of Subjects in 12 CFR Part 304

    Bank deposit insurance, Banks, banking, Freedom of information, 
Reporting and recordkeeping requirements.

Adoption of Technical Amendments

    For the reasons set forth in the preamble, the FDIC hereby revises 
part

[[Page 18794]]

304 of chapter III of title 12 of the Code of Federal Regulations, as 
set forth below:

PART 304--FORMS, INSTRUCTIONS, AND REPORTS

Sec.
304.1   Purpose.
304.2   Where to obtain forms and instructions.
304.3   Reports.


    Authority: 5 U.S.C. 552; 12 U.S.C. 1817, 1831, 1867.


Sec. 304.1  Purpose.

    Part 304 informs the public where it may obtain forms and 
instructions for reports, applications, and other submittals used by 
the FDIC, and also describes certain forms that are not described 
elsewhere in FDIC regulations.


Sec. 304.2  Where to obtain forms and instructions.

    Forms and instructions used in connection with applications, 
reports, and other submittals used by the FDIC can be obtained by 
contacting the FDIC Public Information Center (801 17th Street, NW., 
Washington, DC 20434; telephone: 800-276-6003 or 202-416-6940), except 
as noted below in Sec. 304.3. In addition, many forms and instructions 
can be obtained from FDIC regional offices. A list of FDIC regional 
offices can be obtained from the FDIC Public Information Center or 
found at the FDIC's web site at http://www.fdic.gov, or in the 
directory of FDIC Law, Regulations and Related Acts published by the 
FDIC.


Sec. 304.3  Reports.

    (a) Consolidated Reports of Condition and Income, Forms FFIEC 031 
and 041. Pursuant to section 7(a) of the Federal Deposit Insurance Act 
(12 U.S.C. 1817(a)), every national bank, state member bank, and 
insured state nonmember bank is required to file Consolidated Reports 
of Condition and Income (also known as the Call Report) in accordance 
with the instructions for these reports. All assets and liabilities, 
including contingent assets and liabilities, must be reported in, or 
otherwise taken into account in the preparation of, the Call Report. 
The FDIC uses Call Report data to calculate deposit insurance 
assessments and monitor the condition, performance, and risk profile of 
individual banks and the banking industry. Reporting banks must also 
submit annually such information on small business and small farm 
lending as the FDIC may need to assess the availability of credit to 
these sectors of the economy. The report forms and instructions can be 
obtained from the Division of Supervision, FDIC, Washington, DC 20429.


(Approved by the Office of Management and Budget under control number 
3064-0052)
    (b) Report of Assets and Liabilities of U.S. Branches and Agencies 
of Foreign Banks, Form FFIEC 002. Pursuant to section 7(a) of the 
Federal Deposit Insurance Act (12 U.S.C. 1817(a)), every insured U.S. 
branch of a foreign bank is required to file a Report of Assets and 
Liabilities of U.S. Branches and Agencies of Foreign Banks in 
accordance with the instructions for the report. All assets and 
liabilities, including contingent assets and liabilities, must be 
reported in, or otherwise taken into account in the preparation of the 
report. The FDIC uses the reported data to calculate deposit insurance 
assessments and monitor the condition, performance, and risk profile of 
individual insured branches and the banking industry. Insured branches 
must also submit annually such information on small business and small 
farm lending as the FDIC may need to assess the availability of credit 
to these sectors of the economy. Because the Board of Governors of the 
Federal Reserve System collects and processes this report on behalf of 
the FDIC, the report forms and instructions can be obtained from 
Federal Reserve District Banks or through the web site of the Federal 
Financial Institutions Examination Council,

http://www.ffiec.gov/.


(Approved by the Office of Management and Budget under control number 
7100-0032)
    (c) Summary of Deposits, Form FDIC 8020/05. Form 8020/05 is a 
report on the amount of deposits for each authorized office of an 
insured bank with branches; unit banks do not report. Reports as of 
June 30 of each year must be submitted no later than the immediately 
succeeding July 31. The report forms and the instructions for 
completing the reports will be furnished to all such banks by, or may 
be obtained upon request from, the Division of Supervision, FDIC, 550 
17th Street, NW., Washington, DC 20429.


(Approved by the Office of Management and Budget under control number 
3064-0061)
    (d) Notification of Performance of Bank Services, Form FDIC 6120/
06. Pursuant to Section 7 of the Bank Service Company Act (12 U.S.C. 
1867), as amended, FDIC supervised banks must notify the agency about 
the existence of a service relationship within thirty days after the 
making of the contract or the performance of the service, whichever 
occurs first. Form FDIC 6120/06 may be used to satisfy the notice 
requirement. The form contains identification, location and contact 
information for the bank, the servicer, and a description of the 
services provided. In lieu of the form, notification may be provided by 
letter. Either the form or the letter containing the notice information 
must be submitted to the regional director--Division of Supervision of 
the region in which the bank's main office is located.


(Approved by the Office of Management and Budget under control number 
3064-0029)

    Dated at Washington, DC, this 9th day of April, 2002.

    By order of the Board of Directors.

Federal Deposit Insurance Corporation.
Robert E. Feldman,
Executive Secretary.
    [``Forms Used by the FDIC'' will not appear in the Code of Federal 
Regulations.]

                                             Forms Used by the FDIC
----------------------------------------------------------------------------------------------------------------
                                                                                                      Paperwork
                                                                                                      Reduction
              Form                             Title                           Reference                 Act
                                                                                                      Clearance
                                                                                                        Number
----------------------------------------------------------------------------------------------------------------
FDIC 1600/04...................  Background Investigation          12 CFR 366.6....................    3064-0072
                                  Questionnaire for Contractor
                                  Personnel and Management
                                  Officials.
FDIC 1600/07...................  Background Investigation          12 CFR 366.6....................    3064-0072
                                  Questionnaire for Contractors.
FDIC 1600/10...................  Notice and Authorization          12 CFR 366.6....................    3064-0072
                                  Pertaining to Consumer Reports.

[[Page 18795]]

 
FDIC 2100/14...................  Applicant Background              5 USC 7201; 5 CFR 720.07........    3064-0138
                                  Questionnaire.
FDIC 2120/16...................  Applicant Certification           12 CFR 336.4....................    3064-0121
                                  Statement.
FDIC 3700/04A..................  Contractor Representations and    12 CFR 366.6....................    3064-0072
                                  Certifications.
FDIC 3700/12...................  Eligibility Representations and   12 CFR 366.6....................    3064-0072
                                  Certifications.
FDIC 3700/13...................  Contractor Application..........  12 CFR 366.6....................    3064-0072
FDIC 3700/29...................  Contractor Past Performance RFP   12 CFR 366.6....................    3064-0072
                                  Reference Check Questionnaire.
FDIC 3700/33...................  Contractor Application Revision   12 CFR 366.6....................    3064-0072
                                  Request.
FDIC 3700/44...................  Leasing Representations and       12 USC 1819, 1821...............    3064-0072
                                  Certifications.
FDIC 5000/24...................  Amended Appellate Budget Form...  12 CFR 366.6....................    3064-0122
FDIC 5000/25...................  Amended Bankruptcy Budget Form..  12 CFR 366.6....................    3064-0122
FDIC 5000/26...................  Non-Litigation/Transactional      12 CFR 366.6....................    3064-0122
                                  Form.
FDIC 5000/27...................  Appellate Budget Form...........  12 CFR 366.6....................    3064-0122
FDIC 5000/28...................  Bankruptcy Budget Worksheet.....  12 CFR 366.6....................    3064-0122
FDIC 5000/29...................  Amended Bankruptcy Worksheet....  12 CFR 366.6....................    3064-0122
FDIC 5000/31...................  Amended Litigation PLS Adversary  12 CFR 366.6....................    3064-0122
                                  Budget Form.
FDIC 5000/32...................  Amended Litigation/PLS/Adversary  12 CFR 366.6....................    3064-0122
                                  Budget Worksheet.
FDIC 5000/33...................  Amended Non-Litigation/           12 CFR 366.6....................    3064-0122
                                  Transactional Budget Form.
FDIC 5000/34...................  Bankruptcy Budget Form..........  12 CFR 366.6....................    3064-0122
FDIC 5000/35...................  Litigation/PLS Adversary Budget   12 CFR 366.6....................    3064-0122
                                  Form.
FDIC 5000/36...................  Litigation/PLS/Adversary Budget   12 CFR 366.6....................    3064-0122
                                  Worksheet.
FDIC 6120/06...................  Notification of Performance of    12 CFR 304.3(d).................    3064-0029
                                  Bank Services.
FDIC 6200/05...................  Application for Federal Deposit   12 CFR 303.21...................    3064-0001
                                  Insurance.
FDIC 6200/07...................  Application for Federal Deposit   12 CFR 303.21...................  ...........
                                  Insurance for Operating
                                  Noninsured Institutions.
FDIC 6200/09...................  Application for Consent to        12 CFR 303.242..................    3064-0025
                                  Exercise Trust Powers.
FDIC 6342/12...................  Request for Deregistration,       12 CFR 341.5....................    3064-0027
                                  Registered Transfer Agent.
FDIC 6420/07...................  Certified Statement for Deposit   12 CFR 327.2....................    3064-0057
                                  Insurance.
FDIC 6440/12...................  Loan/Application Register.......  12 CFR 338.8....................    7100-0247
FDIC 6710/06...................  Suspicious Activity Report......  12 CFR 353.3....................    3064-0077
FDIC 6710/07...................  Application Pursuant to Section   12 CFR 303.221..................    3064-0018
                                  19 of the Federal Deposit
                                  Insurance Act.
FDIC 6800/03...................  Initial Statement of Beneficial   12 CFR 335.111, 335.611.........    3064-0030
                                  Ownership of Securities (Form F-
                                  7).
FDIC 6800/04...................  Statement of Changes in           12 CFR 335.111, 335.612.........    3064-0030
                                  Beneficial Ownership (Form F-8).
FDIC 6800/05...................  Annual Statement of Changes in    12 CFR 335.111, 335.613.........    3064-0030
                                  Beneficial Ownership (Form F-
                                  8A).
FDIC 8020/05...................  Summary of Deposits.............  12 CFR 304.3(c).................    3064-0061
FFIEC 002......................  Report of Assets and Liabilities  12 CFR 304.3(b).................    7100-0032
                                  of U.S. Branches and Agencies
                                  of Foreign Banks.
FFIEC 004......................  Report on Indebtedness of         12 CFR 349.3....................    3064-0023
                                  Executive Officers and
                                  Principal Shareholders and
                                  their Related Interests to
                                  Correspondent Banks.
FFIEC 009......................  Country Exposure Report.........  12 CFR 347.305..................    3064-0017
FFIEC 009a.....................  Country Exposure Information      12 CFR 347.305..................    3064-0017
                                  Report.
FFIEC 019......................  Country Exposure Report for U.S.  12 USC 3105, 3108...............    7100-0213
                                  Branches and Agencies of
                                  Foreign Banks.
FFIEC 030......................  Foreign Branch Report of          12 CFR 347.110..................    3064-0011
                                  Condition.
FFIEC 031......................  Consolidated Reports of           12 CFR 304.3(a).................    3064-0052
                                  Condition and Income for a Bank
                                  with Domestic and Foreign
                                  Offices.
FFIEC 041......................  Consolidated Reports of           12 CFR 304.3(a).................    3064-0052
                                  Condition and Income for a Bank
                                  with Domestic Offices Only.
GFIN...........................  Notice of Government Securities   15 USC 78o-5....................    3064-0093
                                  Broker or Government Securities
                                  Dealer Activities to be Filed
                                  by a Financial Institution
                                  Under Section 15C(a)(1)(B).
GFIN-W.........................  Notice by Financial Institutions  15 USC 78o-5....................    3064-0093
                                  of Termination of Activities as
                                  a Government Securities Broker
                                  or Government Securities Dealer.
GFIN-4.........................  Disclosure Form for Person        15 USC 78o-5....................    3064-0093
                                  Associated With a Financial
                                  Institution Government
                                  Securities Broker or Dealer.
GFIN-5.........................  Uniform Termination Notice for    15 USC 78o-5....................    3064-0093
                                  Person Associated With a
                                  Financial Institution
                                  Government Securities Broker or
                                  Dealer.
MSD 4..........................  Uniform Application for           15 USC 78o-4....................    3064-0022
                                  Municipal Securities Principal
                                  or Municipal Securities
                                  Representative Associated With
                                  a Bank Municipal Securities
                                  Dealer.
MSD 5..........................  Uniform Termination Notice for    15 USC 78o-4....................    3064-0022
                                  Municipal Securities Principal
                                  or Municipal Securities
                                  Representative Associated With
                                  a Bank Municipal Securities
                                  Dealer.
TA-1...........................  Transfer Agent Registration and   12 CFR 341.3-341.4..............    3064-0026
                                  Amendment Form.

[[Page 18796]]

 
                                 Certification of Income           12 USC 1831q....................    3064-0116
                                  Eligibility for the Affordable
                                  Housing Program.
                                 Interagency Biographical and      12 USC 1815(a), 1816, 1817(j)...    3064-0006
                                  Financial Report.
                                 Interagency Bank Merger Act       12 CFR 303.60-303.67............    3064-0015
                                  Application.
                                 Interagency Notice of Change in   12 CFR 303.100-303.104..........    3064-0097
                                  Director or Senior Executive
                                  Officer.
                                 Interagency Notice of Change in   12 CFR 303.80-303.87............    3064-0019
                                  Control.
                                 Purchaser Eligibility             12 CFR 340.7....................    3064-0135
                                  Certification.
----------------------------------------------------------------------------------------------------------------

[FR Doc. 02-9241 Filed 4-16-02; 8:45 am]
BILLING CODE 6714-01-P