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Board of Governors of the Federal Reserve System
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Board of Governors of the Federal Reserve System

Electronic Applications and Applications Filing Information

Sign up for E-Apps

Step 1: Complete and Submit the Necessary Forms/Letters

Authorizer Designation Form
Financial institutions that seek to submit application documents through E-Apps and agent firms that seek to submit documents on behalf of client banking organizations must appoint at least one Authorizer for their organization.  The following form is necessary to designate an Authorizer.

Authorizer Designation Form (PDF)

Note: The above form is optimized for use with either Adobe Acrobat Professional or Standard versions. Acrobat Reader XI (11) may also be used to complete and e-mail the form. Use of older versions of Acrobat Reader will not allow you to save the completed form; however, you may complete the form to print and scan for e-mail submission, or you may submit the completed form via mail or fax. 

Credential (Certificate) Request Form
All financial institutions and agent firms that seek to submit application documents through E-Apps must request credentials (i.e., a digital certificate) for at least one other individual within their organization, who is appointed by the Authorizer.  Financial institutions that chose to appoint an agent firm to file on their behalf are not required to request credentials for their own employees.  The Authorizer must complete the following form to request credentials for each individual that will use E-Apps for document submission.

Credential Request Form (PDF)

Note: The above form is optimized for use with either Adobe Acrobat Professional or Standard versions. Acrobat Reader XI (11) may also be used to complete and e-mail the form. Use of older versions of Acrobat Reader will not allow you to save the completed form; however, you may complete the form to print and scan for e-mail submission, or you may submit the completed form via mail or fax.

Appoint an Agent Firm (if applicable)
The Authorizer at a financial institution may designate an agent firm (such as a law firm or consulting group) to file on behalf of the institution by submitting a notarized letter to the Federal Reserve's Customer Contact Center ("CCC").  In such cases, the following form letter should be completed on the financial institution's letterhead, and then scanned and emailed to ccc.coordinators@kc.frb.org.

Agent Appointment Letter (DOC)

Revocation of an Existing Agent Firm (if applicable)
The Authorizer at a financial institution may need to prohibit a previously appointed agent firm from further filing on their behalf. In such cases, the following form letter should be completed on the financial institution's letterhead, notarized, and then scanned and emailed to ccc.coordinators@kc.frb.org.

Agent Revocation Letter (DOC)

Frequently Asked Questions Related to the Forms

Q. Who can designate an Authorizer?
A. A senior executive at the financial institution or agent firm who is authorized to file applications.

Q. Who can be an Authorizer?
A. An officer at the financial institution or agent firm who has responsibility for the oversight of applications.  A senior executive who is authorized to file applications may designate himself or herself as Authorizer.

Q. What are the duties of an Authorizer?
A. An authorizer is responsible for the following tasks:

  • Identify employees who are authorized to submit application documents to the Federal Reserve.
  • Submit Authorizer Designation and Credential Request forms.
  • Communicate any changes concerning credentials to the CCC.
  • Ensure all credentialed employees comply with the terms and conditions of the Certification Practice Statement ("CPS") and applicable security procedures.

Q. What are the responsibilities of individuals with credentials (digital certificates)?
A. Access E-Apps and submit application materials on behalf of the organization.

Q. How many employees should an organization request credentials for?
A. Organizations are encouraged to designate more than one employee with access to E-Apps to minimize the possibility of disruption or delay in accessing the system.

Q. When should the Credential Request Form be submitted?
A.The form may be submitted with the Authorizer Designation Form or anytime thereafter.

Step 2 (OPTIONAL): Hardcopy Form and Letter Submission/CCC Contact Information

The preferred method of submission for the above forms and letters is via e-mail to the Customer Contact Center at ccc.coordinators@kc.frb.org. However, if necessary, the documents may be mailed or faxed to the following (the phone number below may also be used for assistance in completing the forms):

Customer Contact Center
P.O. Box 219416
Kansas City, Missouri  64121-9416
Fax: 800-660-7856
Phone: 888-333-7010 (option 1) 

What happens next?

Submitted forms are reviewed
The CCC reviews all forms. If any of the forms are not complete or otherwise appear to be inaccurate, the CCC will contact the Authorizer for clarification or to request additional information.

Certificate is issued and downloaded
The CCC issues the certificate(s) and e-mails will be generated to both the Authorizer and the Applicant/User that will access E-Apps. Instructions for downloading the certificate are contained in these e-mails. Personal assistance is also available from the CCC. 

Helpful Tips on Using Your Certificate

  • There is no charge to a filing organization for certificates.
  • Certificates must be downloaded within 18 days after receiving the e-mails regarding the issuance of the certificates, or a new certificate must be issued.
  • Each employee of an agent firm will receive only one certificate regardless of how many organizations they are authorized to act on behalf of.
  • Certificates are valid for three years. Notification will be sent to the Authorizer and the credentialed employee prior to the certificate's expiration date.
  • A password must be created by the credentialed employee and cannot be reset; the employee must keep the password confidential; if a password is forgotten, a Credential Request Form must be completed in order for a new certificate to be issued.
  • New certificates must be issued any time a credentialed employee's name changes. Other changes (i.e., new location, e-mail address, phone number) can be made without having a new certificate issued.
  • The Authorizer is obligated to report any compromised certificates or passwords and/or request that a certificate be revoked when an employee no longer requires access to E-Apps.         

Related Information

 


Confidentiality Disclaimer--Multiple Filing Agents

An institution (Filer) may authorize multiple agents to file submissions on its behalf through E-Apps. These filing agents may be employees of the Filer or its affiliates (internal filing agents) and/or representatives of unrelated third parties, such as law firms (external filing agents).

E-Apps does not provide complete confidentiality to Filers with multiple filing agents. Each filing agent, whether internal or external, can view a complete list of filings submitted through E-Apps on the Institutionís behalf. This list is comprised of brief, standardized descriptions of each filing type, including the authorization sought. Where more than one party is involved in a proposal (e.g., where a Filer seeks authorization to acquire another entity or entities), the identities of the parties also may appear.

A filing agent cannot view the contents of any filing or associated documents. Nevertheless, an agent not authorized to make a particular filing can become aware of the fact and type of a proposed transaction and authorization sought before the fact of filing or details regarding the proposal have been publicly announced. This could be undesirable in some instances, including those in which an external filing agent also represents competitors or potential competitors of the Filer.

A Filer may wish to take this limitation on confidentiality into consideration when authorizing multiple filing agents or when deciding whether to file a particular submission through E-Apps. Please note that for filings not originally made through E-Apps, the Reserve Banks may scan those filings into E-Apps so that they may be distributed to and processed by FRS staff electronically. When this is done, the Reserve Banks have the option to make available through E-Apps the same information on the filing that would be available to external filers and their filing agents had the filing originally been submitted through E-Apps. In addition, Filers and their filing agents will have the ability to make subsequent submissions related to the filing through E-Apps. A Filer seeking to avoid the confidentiality concerns noted above should clearly advise the Reserve Bank any time it does not want any information on a filing (including the fact of submission) made available through E-Apps.

Note: E-Apps is unavailable every Sunday from 12 a.m. to 1 p.m. CT (5 a.m. to 6 p.m. GMT). for scheduled maintenance.


Last update: January 3, 2014