Forms & Instructions
WHAT'S NEW:
1. Upcoming mandatory Annual Report SHCA as of December
31, 2004, has been announced. (Part II.A)
2. New derivatives report was approved in September; Form D & Instructions are posted below (Part I.D)
3. New file on differences between B-reports and FFIEC 002. (see Part 1.B.12)
4. Revised Q & As for the B forms are at Part I.B.12.
5. August 31 was the due date for the Benchmark Report SHL as of June 30, 2004. (Part II.B)
(For further help, see contacts.)
- TIC Securities S-Form and instructions for reports
beginning as of January 31, 2001 and thereafter:
- Final Form
S
(12/12/00)
- Final Instructions
for Form S
(1.6 Mb) (12/18/00)
-- Appendix
I: Geographical Classification
(11/29/02) with country codes.
-- Appendix
II: Selected foreign official institutions.
(05/14/04)
- Q
& As for Form S
(12/12/00)
- TIC Banking B-Forms and instructions for reports
beginning as of February 28, 2003 and thereafter:
Summary
of significant reporting changes for B-forms (2/18/03).
[Note:
Form BL-3 was discontinued
after the report as of January 31, 2003.]
- Federal Register Notices: mandatory reporting requirements,
November 18, 2002 .;
public notice of proposed revisions to each form,
April 19 & 22, 2002 .
- Final
Form BC
(11/27/02). Effective beginning with the report as of
February 28, 2003 and thereafter.
- Final
Form BC(SA)
(02/18/03, format correction). Effective beginning with
the report as of June 30, 2003 and thereafter.
- Final
Form BL-1
(11/27/02). Effective beginning with the report as of
February 28, 2003 and thereafter.
- Final
Form BL-1(SA)
(11/27/02). Effective beginning with the report as of
June 30, 2003 and thereafter.
- Final
Form BL-2
(02/18/03, format correction). Effective beginning with
the report as of February 28, 2003 and thereafter.
- Final
Form BL-2(SA)
(02/18/03, format correction). Effective beginning with
the report as of June 30, 2003 and thereafter.
- Final
Form BQ-1
(02/18/03, format correction). Effective beginning with
the report as of March 31, 2003 and thereafter.
- Final
Form BQ-2
(02/18/03, format correction: combined old pages 6 &
7 on new page 6). Effective beginning with the report
as of March 31, 2003 and thereafter.
- Final
Form BQ-3
(11/27/02, clarification of some rows). Effective beginning
with the report as of March 31, 2003 and thereafter.
- Final
Instructions for all B-Forms (12/6/02, includes various
clarifications). Effective beginning with the reports
as of February 28, 2003 and thereafter.
-- Appendix
B: Geographical Classification
(11/29/02) with country codes.
-- Appendix
C: Selected foreign official institutions. (revised 05/14/04)
- -- Q
& As for B-Forms
(08/25/04) REVISED. Effective beginning with the reports as
of February 28, 2003 and thereafter.
-- Legitimate Differences between B Reports and FFIEC 002
(09/07/04) NEW. Effective beginning with the reports as
of February 28, 2003 and thereafter.
- On November 13, 2002, a Training Session for Respondents
was held at the Federal Reserve Bank of New York. Here are the presentation slides for viewing. (PowerPoint
file) (11/14/02)
- To access archived TIC B-Forms and instructions,
please follow this link.
- TIC nonbanking C-Forms and instructions for reports
beginning as of March 31, 2003 and thereafter.
[Note:
Form CM was discontinued
after the report as of January 31, 2003. The old forms for
reports as of January 31, 2002 and before, are available
from the Federal Reserve Bank of New York.]
- Federal Register Notices: mandatory reporting requirements,
November 22, 2002 ;
summary of the proposed revisions to each form,
July 2, 2002 .
- Final
Form CQ-1
(11/27/02). Effective beginning with the report as of
March 31, 2003 and thereafter.
- Final
Form CQ-2
(11/27/02). Effective beginning with the report as of
March 31, 2003 and thereafter.
- Final
Instructions for C-Forms (12/6/02). Effective
beginning with the reports as of March 31, 2003 and
thereafter.
-- Appendix
B: Geographical Classification
(11/29/02) with country codes.
-- Appendix
C: Selected foreign official institutions.
(05/14/04)
- NEW TIC Derivatives D-Form
and instructions for reports beginning as of March 31, 2005
(covering the first quarter of 2005) and thereafter:
- Federal Register Notices: mandatory reporting requirements,
October 15, 2004
; summary of proposed Form D
March 18, 2004 .
- FINAL Form
D
(10/19/04) (only cover page was REVISED).
- FINAL Instructions
for Form D
(10/19/04) (REVISED, only
clarifications in several sections.) Effective beginning
with the report as of March 31, 2005 and thereafter.
NOTE that there is a phase-in of reporting in 2005;
see
section in this file on When to Report .
-- Appendix
A: Geographical Classification
(11/29/02) with country codes.
-- Appendix
B: Selected foreign official institutions. (revised 05/14/04)
(For further help, see contacts.)
- NEW Form SHCA (2004):
U.S. Ownership of Foreign Securities as of December 31, 2004. Federal Register Notice of mandatory reporting requirements (10/15/04)
.
- Form SHL (2004):
Foreign-Residents' Holdings of U.S. Securities, Including
Selected Money Market Instruments as of June 30, 2004.
- Federal Register Notice of mandatory reporting requirements
(03/18/04)
.
- Final
Instructions and Form SHL.
(04/07/04; only changes are updated appendices D (short
list of FOIs) and H.) Includes country codes & currency
codes.
-- Flowcharts for Reporting
of Funds
(04/01/04).
-- Appendix D full list of selected
foreign official institutions.
(05/14/04)
- FAQs
for SHL Reporters
(8/16/04); Key
Issues for SHL Reporters
(8/16/04); List of some securities that should not be reported, including
those of reincorporated
companies
(08/05/04);
Guidelines for Preparing an Error-Free
Report
(04/01/04).
- Line-by-Line
Differences
between the March 2000 SHL Forms 1 & 2 and these
June 2004 SHL Schedules 1 & 2 (04/28/04).
- Respondent Liabilities Training Seminar
of April 14, 2004 at the Federal Reserve Bank of New
York (PowerPoint file) (04/16/04).
- Internet Electronic SUBmission (IESUB):
-- For an IESUB
Account Request Form.
(04/07/04)
-- For a
"Test Drive" of IESUB.
(04/07/04).
-- For IESUB
Help.
(04/07/04).
-- For all other
information on IESUB.
(04/07/04).
- Key
Issues for SHL Software Developers
(08/05/04).
- To access archived SHL(2000) forms and instructions,
please follow this link.
- Form SHCA (2003): U.S. Ownership of Foreign Securities,
including Selected Money Market Instruments as of December
31, 2003.
- Federal Register Notices: Notice of mandatory reporting
requirements (09/26/03) ; Summary description of
the survey (2/21/03)
.
- Final
Instructions and Forms
(8/22/03, note: eliminated on schedule 2 is the line
10 reporting requirement). Electronic
filing - technical information
(8/22/03, same as appendix I in instructions).
- FAQs
for SHCA Reporters
(2/13/04) ; Key
Issues for SHCA Reporters
(12/11/03); Guidelines for Preparing an Error-Free
Report
(10/7/03).
- Key
Issues for SHCA Software Developers
(09/26/2003).
- Respondent Claims Training Seminar of
November 12, 2003 at the Federal Reserve Bank of New
York (PowerPoint file) (12/15/2003).
- To access archived SHC(2001) forms and instructions,
please follow this link.
- Form SHLA (annual): Foreign-Residents' Holdings
of U.S. Securities, Including Selected Money Market Instruments
as of end-June. This report is filed annually, except in
years when Form SHL is being reported. To access archived
forms and instructions for SHLA(2002) and for SHLA(2003),
please follow this link.
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