Please click to return to the document group list.

Type: 2070
Description: Interagency Bank Merger Application, filed at the FRB
Filing Deadline: Must be filed before merging or consolidating with an institution, acquiring its assets, or assuming the liability for its deposits.
Relevant Legislation: Instituted in 1960 with the enactment of the Bank Merger Act as Section 18(c) of the Federal Deposit Act. Discontinued in 1990 at the same time that the Application for Prior approval for a Bank Holding Company to acquire an additional bank or bank holding company (FR Y-2) was amended to include proposals filed pursuant to Section 18(c) of the FDI Act and Section 9 of the Federal Reserve Act. Subsequent experience indicated that a separate FR 2070 application would be easier to use, and was reinstated in 1994. In 1998 the application was reformatted for use by the four federal banking regulatory agencies and was retitled the Interagency Bank Merger Act Application.
Type: 2081
Description: Application at FRB for Change-in-Control under Bank Holding Company Act
Filing Deadline: Sections FR 2081a and FR 2081b of this filing must be filed at least sixty days and thirty days, respectively, prior to the proposed changes. FR 2081c must be filed along with both the FR 2081 and the FR 2081b as well as with other applications.
Relevant Legislation: The notice of change in Bank Control originated in 1979 as a result of the enactment of the Change in Bank Control Act of 1978. In 1996, the single notice was changed to three separate interagency reports. The change in Bank Control Act requires prior notice from individuals involved in changes in the contolling ownership of a financial institution (now reported on FR 2081a). Section 914 of the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 (FIRREA) requires depository institutions to give prior notice of a proposed addition of any individual to the Board of Directors or the employment of an individual as a Senior Executive Officer (FR 2081b). The evaluation of transactions under both of these acts requires background information on the individuals involved (FR 2081c).
Type: APP SUPP
Description: Application Supplement: Supplemental information to a merger application
Filing Deadline: No filing deadline
Relevant Legislation:
Type: Bid Form
Description: Details that a potential acquirer submits, in accordance with the 'Instructions to Potential Acquirers', to acquire certain assets and liabilities pursuant to a Purchase and Assumption (whole Bank) with Loss Share Agreement.
Filing Deadline:
Relevant Legislation:
Type: Bid Summary
Description: Summary of bidders and bid amounts for failed banks as disclosed by the regulator.
Filing Deadline:
Relevant Legislation:
Type: FDICCIC
Description: Notices by any person(s) seeking to acquire control of an insured state nonmember bank pursuant to Section 7(j) of the FDI Act. This application type is not subject to CRA comments.
Filing Deadline: Notices must receive approval prior to the acquisition of control except for certain transactions. In those exceptional cases, the acquiror must file the appropriate notice with 90 days of acquisition of control.
Relevant Legislation: See 12 CFR 574.
Type: FDICMA
Description: Merger Application at FDIC
Filing Deadline: The applicant must publish notice in the community in which the proposed new or acquired subsidiary is located prior to filing the application.
Relevant Legislation:
Type: FERCMA
Description: Merger Application at the FERC
Filing Deadline: None
Relevant Legislation:
Type: Form A
Description: Holding Company Reporting Form: Statement regarding the acquisition of control of or merger with a domestic insurer.
Filing Deadline:
Relevant Legislation:
Type: Form A Supp
Description: Holding Company Reporting Form: Statement regarding the acquisition of control of or merger with a domestic insurer.
Filing Deadline:
Relevant Legislation:
Type: Form A/A
Description: Amendment to the Holding Company Reporting Form: Statement regarding the acquisition of control of or merger with a domestic insurer.
Filing Deadline:
Relevant Legislation:
Type: H-(e)3
Description: Merger Application at OTS
Filing Deadline: No filing deadline.
Relevant Legislation:
Type: K-1
Description: Application for a banking organization to establish foreign branches or Edge or agreement corporations, to invest in other foreign organizations, or engage in new activities: Contains financial and managerial information and information on the company to be acquired of the activities to be engaged in.
Filing Deadline: No filing deadline.
Relevant Legislation: Federal Reserve Act and Bank Holding Company Act of 1956
Type: MA
Description: Merger Agreement: Agreement relating to a merger or acquisition of a company. Agreements are not filed with the SEC.
Filing Deadline:
Relevant Legislation:
Type: OCCCIC
Description: Change in Control filings with the Office of the Controller of the Currency (OCC), either for rebuttable control (acquiror becomes one the the largest shareholders) or conclusive control of a savings institution.
Filing Deadline: Notices must receive approval prior to the acquisition of control except for certain transactions. In those exceptional cases, the acquiror must file the appropriate notice with 90 days of acquisition of control.
Relevant Legislation: See 12 CFR 574.
Type: OCCMA
Description: Merger Application at OCC
Filing Deadline: An applicant shall publish a public notice of its filing in a newspaper of general circulation in the community in which the applicant proposes to engage in business, on the date of filing, or as soon as practicable before or after the date of filing.
Relevant Legislation:
Type: OTSCIC
Description: Change in Control filings with the Office of Thrift Supervision (OTS) either for rebuttable control (acquiror becomes one the the largest shareholders) or conclusive control of a savings institution.
Filing Deadline: Notices must receive approval prior to the acquisition of control except for certain transactions. In those exceptional cases, the acquiror must file the appropriate notice with 90 days of acquisition of control.
Relevant Legislation: See 12 CFR 574.
Type: OTSMA
Description: Merger Application at the OTS
Filing Deadline: Applicant must publish notice of the proposed organization in the community or communities in which the proposed financial institution will be located prior to filing the application. Notice must be published no earlier than seven days before and no later than the filing date of the application.
Relevant Legislation:
Type: WAIVER
Description: Waiver Request for Application Filing Requirements: Used to designate filings where a letter of notice was deemed sufficient in lieu of a formal application.
Filing Deadline: No filing deadline.
Relevant Legislation:
Type: Y-1
Description: Merger Application (obsolete)
Filing Deadline:
Relevant Legislation:
Type: Y-1f
Description: Application for a Foreign Organization to Become a Bank Holding Company: The Federal Reserve uses the information to fulfill its responsibilities under the Bank Holding Company Act and the Foreign Bank Supervision Enhancement Act of 1991 to determine if proposals are competitively acceptable, consistent with the public interest, and financially sound.
Filing Deadline: The applicant must publish notice in the community in which the proposed new or acquired subsidiary is located and file the application within seven days of publication of notice.
Relevant Legislation: Before the initiation of the FR Y-1f in 1982, applicants filed the Appication for Prior Approval to Become a Bank Holding Company, together with a special supplement for foreign applicants.
Type: Y-2
Description: Merger Application at FRB
Filing Deadline:
Relevant Legislation:
Type: Y-3
Description: 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: 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. Entities seeking prior approval to become a BHC and existing BHCs seeking approval to acquire more than 5 percent of the stock of an additional bank or BHC are required to file this form with the Federal Reserve.
Filing Deadline:
Relevant Legislation: Created in July 1994 when the FR Y-1 (Application for Prior Approval to Become a Bank Holding Company) and FR Y-2 (Application for Prior Approval for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company) were combined. In April 1999, the Board modified this application for Regulation Y changes by streamlining certain procedures and reducing significantly regulatory burden in the application review process. As part of these changes, the Board implemented the FR Y-3N (Notification for Prior Approval for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company) to streamline the process for respondents meeting certain qualifying criteria.
Type: Y-4
Description: Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities: Bank Holding Comopanies seeking approval to acquire the assets or shares of a nonbank company or to engage de novo in nonbank activities.
Filing Deadline:
Relevant Legislation: Implementation of the nonbanking provisions of the 1970 amendments to the Bank Holding Company Act led to the institution of the FR Y-4 application in June 1971. In April 1999, the Board modified this form for Regulation Y changes by streamlining certain nonbanking notice procedures and reducing significantly regulatory burden in the notice review process.