Electronic Applications and Applications Filing Information

Forms

The types of filings processed by the Federal Reserve System are presented below. Select a filing type to obtain the required form and filing instructions.

• - Bank Holding Company Formation/Expansion Filings
• - Bank Holding Company Nonbanking Activities Filings
• - Other Bank Holding Company Filings
• - Savings and Loan Holding Company (SLHC) Filings
• - SLHC Mutual Holding Company Filings
• - State Member Bank Filings
• - International Organization Filings

• Bank Holding Company (BHC) Formation/Expansion Filings

• BHC Formation--expedited processing (FR Y-3N)
  Formation of a BHC that qualifies for expedited processing (Riegle Notice).
• BHC Formation--nonexpedited processing (FR Y-3)
  Formation of a BHC that does not qualify for expedited processing.
• BHC Expansion--expedited processing (FR Y-3N)
  Acquisition of an additional bank or BHC that qualifies for expedited processing.
• BHC Expansion--nonexpedited processing (FR Y-3)
  Acquisition of an additional bank or BHC that does not qualify for expedited processing.
• Foreign BHC Formation--expedited processing (FR Y-3F)
  Expansion of a foreign BHC that qualifies for expedited processing
• Foreign BHC Formation--nonexpedited processing (FR Y-3F)
  Formation or expansion of a foreign BHC that does not qualify for expedited processing

• Bank Holding Company Nonbanking Activities Filings

• Activities in Regulation Y--expedited processing (FR Y-4)
  Commencement of an activity listed in Regulation Y that qualifies for expedited processing.
• Activities in Regulation Y--nonexpedited processing (FR Y-4)
  Commencement of an activity listed in Regulation Y that does not qualify for expedited processing.
• Post Commencement Notice (FR Y-10)
  Notification after starting a permissible nonbanking activity.

• Other Bank Holding Company Filings

• Interagency Notice of Change in Bank Control (FR 2081a)
  Notice of intent to acquire a controlling interest in a bank holding company.
• Stock Redemption Notice
  Request to redeem equity securities.
• Interagency Notice of Change in Director or Senior Executive Officer (FR 2081b)
  Notice of intent by a troubled bank holding company to add an individual to the board of directors or to employ an individual as a senior executive officer.
• Interagency Biographical or Financial Report (FR 2081c)
  Used by individuals and filed in conjunction with other reports to provide supporting financial and employment data regarding a notice of change in control or a notice of a change in director or senior executive officer. 

• Savings and Loan Holding Company (SLHC) Filings

• Savings and Loan Holding Company Application (H-(e))
• Interagency Notice of Change in Bank Control (FR 2081a)
• Interagency Notice of Change in Director or Senior Executive Officer (FR 2081b)
• Interagency Biographical or Financial Report (FR 2081c)
• Notice of Dividend Declaration (1583)

  • SLHC Mutual Holding Company Filings

  • Notice of Mutual Holding Company Reorganization (1522)
  • Savings and Loan Holding Company Application (H-(e))
  • Application for Approval of a Minority Stock Issuance by a Savings Association Subsidiary of a Mutual Holding Company (1523)
  • Application for Conversion of Mutual Holding Company to Stock Form (1680)

• State Member Bank Filings

• Membership (De Novo) Application (FR 2083/A/B/C)
  Application for membership in the Federal Reserve System by a bank in formation.
• Membership (Conversion) Application (FR 2083/A/B/C)
  Application to receive or retain membership in the Federal Reserve System.
• Merger Application (FR 2070)
  Application to merge or consolidate with another insured depository institution.
• Branch Application
  Application to establish a new branch facility (de novo).
• Premises Application
  Request to increase investment in bank premises.
• Interagency Notice of Change in Bank Control (FR 2081a)
  Notice of intent to acquire a controlling interest in a bank.
• Interagency Notice of Change in Director or Senior Executive Officer (FR 2081b)
  Notice of intent by a troubled bank to add an individual to the board of directors or to employ an individual as a senior executive officer.
• Interagency Biographical or Financial Report (FR 2081c)
  Used by individuals and filed in conjunction with other reports to provide supporting financial and employment data regarding a notice of change in control or a notice of a change in director or senior executive officer.

• International Organization Filings

• Edge Corporation to Amend its Articles of Association (FR K-1)
• Edge Corporation Change in Control (FR K-1)
• Establishing Edge or agreement Corporations (FR K-1)
• Foreign Banking Organization--Change of its Home State (FR K-2)
• Foreign Banking Organization--Establishing a U.S. Branch, Agency, Commercial Lending Company, or Representative Office (FR K-2)
• U.S. Banking Organization--Engaging in Permissible Activities Overseas (FR K-1)
• U.S. Banking Organization--Establishing Foreign Branches (FR K-1)
• U.S. Banking Organization--Activities and Investments of Foreign Branches of Member Banks (FR K-1)
• U.S. Banking Organization--Investment in an Export Trading Company (FR K-1)
• U.S. Banking Organization--Investment in a Foreign Company (FR K-1)