Fillable Annual Report on Operating Subsidiaries National Bank (Comptroller of the Currency)

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Annual Report on Operating Subsidiaries National Bank (Comptroller of the Currency)

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1
Annual Report on Operating Subsidiaries
National Bank
General Information and Instructions
Preparation and Use
This report is used to identify certain national bank operating subsidiaries (OS) that are subject to
Office of the Comptroller of the Currency (OCC) supervisory authority. This report identifies a
bank’s operating subsidiaries that do business directly with consumers in the United States and
are not functionally regulated as defined in section 5(c)(5) of the Bank Holding Company Act of
1956, as amended (12 USC 1844(c)(5)). Specifically, an OS does business directly with
consumers if it provides products or services to individuals to be used primarily for personal,
family, or household purposes.
National banks that have OS covered by the annual reporting requirements can find additional
information at 69 FR 64478 (November 5, 2004), and 12 CFR 5.34(e)(7).
Submission
The OCC encourages national banks to submit this report using Central Application Tracking
System (CATS). Access to CATS requires BankNet access. CATS is the OCC’s web-based
system for submitting and processing Licensing and Public Welfare Investment applications and
notices (collectively, filings). CATS enables authorized bank employees to draft, submit, and
track filings, and allows OCC analysts to receive, process, and manage those filings.
Alternatively, the report may be completed offline and attached to an e-mail. All e-mailed reports
must be sent through BankNet.
BankNet Members: Use CATs to submit the annual operating subsidiaries report OR
attach the completed report to the e-mail created in BankNet’s secure mailbox,
opsubreporting@occ.treas.gov.
Non-BankNet Members: Mail or fax a hardcopy report to Licensing Activities, Attn: Op Sub
Reporting, Mail Stop 10E-2, Office of the Comptroller of the Currency, 400 7th St. SW,
Washington, DC 20219, Fax: (202) 649-5728.
2
Annual Report on Operating Subsidiaries (OS) for Year Ended
Parent national bank name (legal name)
Charter number
(Line intentionally left blank)
Name of OS #1
Doing business as (DBA), abbreviated, or trade name(s)
Current street or PO box of OS
City of OS
State of OS
Zip code of OS
E-mail address of OS
Telephone number of OS
Street address of principal place of business (PPB), if different
from above
PPB city
PPB state
PPB zip code
North American Industry Classification System code
(NAICS)
1
Activity description (use only if the NAICS code is 0000)
(Line intentionally left blank)
Name of OS #2
DBA, abbreviated, or trade name(s)
Current street or PO box of OS
City of OS
State of OS
Zip code of OS
E-mail address of OS
Telephone number
Street address of PPB, if different from above
PPB city
PPB state
PPB zip code
NAICS code (separate multiples with a comma)
Activity description (use only if the NAICS code is 0000)
If reporting data for more than two OS, copy and paste the above
template here and complete for the additional operating
subsidiaries.
(Line intentionally left blank)
1
Include the types of activities in which the OS does business directly with consumers using the appropriate code
from appendix B (NAICS Activity Codes for Commonly Reported Activities) to the Instructions for Preparation of
Report of Changes in Organization Structure, Form FY Y-10. If an OS is engaged in an activity not listed in
appendix B to Form FR Y-10, a national bank should report the code “0000” and provide a brief description of the
activity. Separate each activity by a comma if there are multiple activities. The NAICS activity codes for commonly
reported banking activities are located at https://www.federalreserve.gov/reportforms/forms/FR_Y-
1020161014_i.pdf. A copy of the current codes is attached.
3
Bank official’s title
Bank official’s current street or PO box
Bank official’s city
Bank official’s state
Bank official’s zip code
Bank official’s e-mail address, if applicable
Bank official’s telephone number:
4
Appendix B
(FR Y-10)
Board to NAICS Activity Codes Conversion Table
Board Activity
Board
Alphanumeric
Code
1
NAICS
Code
NAICS Activity
Bank Holding Company OOAA 551111 Offices of Bank Holding Companies
Other Holding Company OOAB 551112
Offices of Other Holding Companies
Foreign Banks
OOBA
52211
Commercial Banking
Edge/Agreement - Investment OOBD 522293 International Trade Financing
Edge/Agreement - Banking OOBE 522293 International Trade Financing
Commercial, Business, Consumer
Finance
OIAA 52222
Sales Financing
Mortgage Banking OILB 522292 Real Estate Credit
Industrial Bank, Industrial Loan, Morris
Plan - Depository
02AA
52219
Other Depository Credit Intermediation
Industrial Bank, Industrial Loan, Morris
Plan - Nondepository
02AA 522298
All Other Nondepository Credit
Intermediation
Trust Company Functions, Acting as a
Fiduciary
04AA 523991 Trust, Fiduciary, and Custody Activities
Investment, Financial or Economic
Advisory Services
05AE 52393 Investment Advice
Leasing Property - Land, Buildings,
Motor Vehicles, Equipment
06AF
53111
Lessors of Residential Buildings &
Dwellings
Community Development Investment or
Advisory Services
07AA 62422 Community Housing Services
Data Processing and Data Transmission
Services
08AA
51821
Data Processing, Hosting and Related
Services
Insurance or Annuities Agent or Broker
09BB 52421 Insurance Agencies and Brokerages
1
In 2004, the Federal Reserve converted from using alphanumeric activity codes to NAICS codes. Therefore, the codes in this column are no
longer used.
5
Board Activity
Board
Alphanumeric
Code
1
NAICS
Code
NAICS Activity
Underwriting as a Reinsurer Insurance
(an extension of credit by a BHC)
09EA 52413
Reinsurance Carriers
Courier Services 11BA
49211 Couriers
Consulting Services for Management,
Employee Benefits, Compensation,
Insurance Plans
& Career Counseling
12AA 54161
Management Consulting Services
Issuing or Selling Money Orders,
Savings Bonds, Traveler's Checks
13AA 52239
Other Activities Related to Credit
Intermediation
Real Estate Appraisals 14AA 53132 Offices of Real Estate Appraisers
Commercial Real Estate Equity
Financing
14AB 52231
Mortgage and Nonmortgage Loan
Brokers
Securities Brokerage Services 15AA 52312 Securities Brokerage
Transactional Services (swaps, foreign
exchange, derivative contract)
17AA 52314
Commodity Contracts Brokerage
Credit Card Banks
20CC 52221 Credit Card Issuing
Commercial Banking 21AA
52211 Commercial Banking
Underwriting as a Reinsurer Life, Health,
Disability or Medical Insurance
31BA 52411 Direct Life, Health, and Medical
Insurance Carriers
Administrative and Other Services to
Mutual Funds
31BB 523991 Trust, Fiduciary, and Custody Activities
Owning Shares of a Securities Exchange
31BC 52231 Mortgage and Nonmortgage Loan
Brokers
Certification Authority for Digital
Signatures
31BD 51821 Data Processing, Hosting and Related
Services
Providing Credit Bureau Services
31BE 56145 Credit Bureaus
Check Cashing & Wire Transmission
Services
31EA 52239 Other Activities Related to Credit
Intermediation
Real Estate Title Abstracting
31IA 541191 Title Abstract and Settlement Offices
Travel Agency Activities
31LA 56151 Travel Agencies
Managing Mutual Funds 31MA
52392 Portfolio Management
FHC Lending, Exchanging, Transferring,
Investing for Others
31NA
52393 Investment Advice
1
In 2004, the Federal Reserve converted from using alphanumeric activity codes to NAICS codes. Therefore, the codes in this column are no
longer used.
6
Board Activity
Board
Alphanumeric
Code
1
NAICS
Code
NAICS Activity
Underwriting, Dealing in or making a market
in Securities (also may provide brokerage
i)
31QA
52311 Investment Banking and Securities
Dealin
g
Issuing Instruments Representing
Interests in Pools of Assets
31RA
52591 Open-End Investment Funds
Merchant Banking or Insurance
Company Investments
31UA 52391
Miscellaneous Intermediation
Conducting a Safe Deposit Business 32CA 523991 Trust, Fiduciary, and Custody Activities
Acquiring a Debt in Default (excludes
DPC)
32CB 52229 Other Nondepository Credit
Intermediation
Underwriting as a Reinsurer Property,
Casualty or Title Insurance
32GA
524126
Direct Property and Casualty Insurance
Carriers
Underwriting Annuities
32GB 524113 Direct Life Insurance Carriers
Underwriting as a Reinsurer Other
Insurance (not in 31 BA, 32GA, 32GB)
32GC 524128 Other Direct Insurance (except life, health, and
medical) Carriers
Finder Activities (bring together others to
negotiate and consummate transactions)
32IA 52393 Investment Advice
Lending, Exchanging, Investing for
Others
3218 523991 Trust, Fiduciary, and Custody Activities
Providing Devices for Transferring
Money or Other Financial Assets
32IC
523999 Miscellaneous Financial Investment
Activities
Arranging Financial Transactions for the
Account of Third Parties
3210 523991
Trust, Fiduciary, and Custody Activities
Underwriting or Dealing in Bank
Eligible Securities
90AB 523999
Miscellaneous Financial Investment
Activities
Providing a Check Guarantee Service
90AC 52232
Financial Transactions Processing,
Reserve, and Clearinghouse Activities
Buying & Selling Bullion, Silver, Gold
and Platinum Coins
90AE
52313 Commodity Contracts Dealing
Savings Associations
90AG 52212 Savings Institutions
Credit Unions
90AG 52213 Credit Unions
Export Trading Companies
90BA 522293 International Trade Financing
1
In 2004, the Federal Reserve converted from using alphanumeric activity codes to NAICS codes. Therefore, the codes in this column are no
longer used.
7
Board Activity
Board
Alphanumeric
Code
1
NAICS
Code
NAICS Activity
Futures Commission or Commodity
Merchant
90BD
52314
Commodity Contracts Brokerage
Venture Capital Investments 90BN
52391
Miscellaneous Intermediation
Collecting Overdue Accounts Receivable
(retail or commercial)
90BQ
56144 Collection Agencies
Printing and Selling Check
(micr-encoded)
91AC
323116 Manifold Business Forms Printing
Principal in Foreign Exchange, Swaps or
Derivatives Contracts
91AQ
52313 Commodity Contracts Dealing
Agent for Private Placement of Securities 91AR 52312 Securities Brokerage
Real Estate Settlement Services 91AV 541191 Title Abstract and Settlement Offices
Buying & Selling in the Secondary
Market as "Riskless Principal"
91BC 523999
Miscellaneous Financial Investment
Activities
Providing Services to an Affiliated BHC
(accounting, appraising, auditing)
91CA 54199
All Other Professional, Scientific, and
Technical Services
Other Servicing Activities 91CD 54199
All Other Professional, Scientific, and
Technical Services
Liquidating Property Acquired from a
BHC Subsidiary (excluding DPC)
91CE 52239
Other Activities Related to Credit
Intermediation
Asset Management, Servicing and
Collection of Assets (excluding
properties acquired DPC)
91FA 52239
Other Activities Related to Credit
Intermediation
Issuing Trust Preferred Securities,
Commercial Paper and Long-Term Debt
97AA 52599
Other Financial Vehicles
Co-generator of Electric Power
99CG 22111
Electric Power Generation
1
In 2004, the Federal Reserve converted from using alphanumeric activity codes to NAICS codes. Therefore, the codes in this column are no
longer used.
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