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FIL-53-2007 Attachment 2

多宝游戏下载connect Transaction List
Business AreaTransaction Name and DescriptionScheduled Activation DateAvailable to:
SupervisionBeneficial Ownership Report Filings: A interagency electronic filing system to facilitate the submission of beneficial ownership reports by directors, officers, and principal shareholders of institutions whose equity securities are registered with the 多宝游戏下载, the FRB, the OCC, and the OTS. The electronic filing of beneficial ownership reports is mandatory, as required by the Sarbanes-Oxley Act of 2002.Available NowInstitutions subject to filings under the Securities and Exchange Act of 1934.
 Brokered Deposit Waiver: This system can be used to submit an application pursuant to Section 29 of the FDI Act and Section 337.6 of the 多宝游戏下载 Rules and Regulations. These regulations state that an adequately capitalized insured depository institution may not accept, renew, or roll over any brokered deposit unless it has obtained a waiver from the 多宝游戏下载. National banks, Federal Reserve member banks and Thrift institutions should consult the regulations of their primary regulator to ensure that they meet any additional requirements.Available Now多宝游戏下载-Insured Institutions
 Consent to Exercise Trust Powers: This system can be used to submit an application pursuant to Section 333.2 of the 多宝游戏下载 Rules and Regulations which prohibits a State nonmember bank from changing the general character of its business without the prior written consent of 多宝游戏下载. A change in the character of business is generally considered to have occurred when a fiduciary relationship is created. 多宝游戏下载 only gives consent to exercise powers that are granted or permitted by the State Authority. 多宝游戏下载 does not grant trust powers.Available Now多宝游戏下载-Supervised
 Consumer Response Center: In accordance with the Federal Trade Commission Act of 1975, the 多宝游戏下载's Consumer Response Center, which is part of the Division of Supervision and Consumer Protection (DSC), is required to track, investigate, and respond to all written correspondence directed at 多宝游戏下载- supervised institutions. This system will allow the 多宝游戏下载 and institutions to complete this process electronically within the 多宝游戏下载connect secure environment.Available Now多宝游戏下载-Supervised Institutions
 Establish or Relocate Domestic Branch or Office: This system may be used to apply to the 多宝游戏下载 to establish a domestic branch, to relocate a domestic branch or main office, and to retain existing branches after the interstate relocation of the main office (Subpart C - Part 303, 多宝游戏下载 Rules and Regulations). This system should not be used for merger transactions, establishing insured branches of foreign banks or foreign branches of domestic banks, interstate acquisition of an individual branch or branches, or to provide notice of branch closings. This transaction is enhanced to provide the ability to submit electronic files as well as distribution of the filing to participating State Banking Departments.Available Now多宝游戏下载-Supervised Institutions
 Examination File Exchange: In an effort to reduce examination burden on its institutions, the 多宝游戏下载 currently requests various amounts of information that is reviewed prior to the on-site portion of the examination. This system will allow institutions and/or other affiliated parties such as data servicers to exchange files securely with the 多宝游戏下载.Available Now多宝游戏下载-Supervised Institutions
 Extension of Time: Institutions can use this system to seek the prior consent of the 多宝游戏下载 for additional time to fulfill a condition required in an application approved by the 多宝游戏下载 or to consummate a transaction which was the subject of an approval by the 多宝游戏下载. This system will distribute the filings to participating State Banking Departments. It will also support file attachment/submission.Available Now多宝游戏下载-Supervised Institutions
 Golden Parachute and Excess Severance Payments: This system can be used to submit an application pursuant to Section 18(k)(1) of the FDI Act and Part 359, which requires insured depository institutions and holding companies to seek prior consent before entering into contracts to pay and making golden parachute payments or excess nondiscriminatory severance plan payments. This system will distribute the filings to participating State Banking Departments. It will also support file attachment/submission.Available Now多宝游戏下载-Insured Institutions
 Post-Exam Survey: Use this application to complete a Post Exam Survey after Compliance and Safety and Soundness exams. An access number will be delivered with your Final Report of Exam, at which time you may log onto to provide your feedback. The survey is located outside of the Business Center.Available NowInstitutions recently examined for Compliance or Safety & Soundness
 

Applications Pursuant to Prompt Corrective Action: This system can be used to submit an application pursuant to Part 303.200 of Subpart K of the 多宝游戏下载 Rules and Regulations which covers applications filed pursuant to Section 38 of the FDI Act. These regulations require insured depository institutions that are not adequately capitalized to receive approval prior to engaging in certain activities. Section 38 restricts or prohibits certain activities and requires an insured depository institution to submit a capital restoration plan when it becomes undercapitalized. The restrictions and prohibitions become more severe as an institution's capital level declines.

National banks, Federal Reserve member banks and Thrift institutions should consult the regulations of their primary regulator to ensure that they meet any additional requirements.

Below are the applications that require insured depository institutions to receive approval prior to engaging in certain activities:

  • Under Section 325.104 of the 多宝游戏下载 Rules and Regulations, state nonmember banks that are undercapitalized, significantly undercapitalized or critically undercapitalized, must file "a capital restoration plan" with the 多宝游戏下载 within 45 days of the date that the bank receives notice, or is deemed to have notice, that it is less than adequately capitalized.
  • An insured state nonmember bank and any insured branch of a foreign bank should submit an "application for capital distribution" if, after having made a capital distribution, the institution would be undercapitalized, significantly undercapitalized, or critically undercapitalized.
  • Any insured state nonmember bank and any insured branch of a foreign bank which is undercapitalized or significantly undercapitalized, and any insured depository institution which is critically undercapitalized, should submit "an application to engage in acquisitions, branching or new lines of business". A new line of business will include any new activity exercised which, although it may be permissible, has not been exercised by the institution.
  • Any insured state nonmember bank or insured branch of a foreign bank that is significantly or critically undercapitalized, or any insured state nonmember bank or any insured branch of a foreign bank that is undercapitalized and which has failed to submit or implement in any material respect an acceptable capital restoration plan, should submit "an application to pay a bonus or increase compensation for any senior executive officer".
  • Any critically undercapitalized insured depository institution should submit "an application to pay principal or interest on subordinated debt".
  • Any critically undercapitalized insured depository institution should submit "an application to engage in certain restricted activities".
Available Now 
 Reduce or Retire Capital Stock or Capital Debt: This system can be used to submit an application in accordance with Section 18(i)(1) of the FDI Act which requires an insured State nonmember bank to seek the prior consent of the 多宝游戏下载 before it reduces the amount or retires any part of its common or preferred capital stock, or retires any part of its capital notes or debentures. This system will distribute the filings to participating State Banking Departments. It will also support file attachment/submission.Available Now多宝游戏下载-Supervised Institutions
 Special Alerts: The 多宝游戏下载 currently distributes 多宝游戏下载 Special Alerts regarding apparent fraudulent activities. While Special Alerts are posted on the 多宝游戏下载 web site, their attachments (which often include copies of fraudulent and authentic financial instruments) are not posted in order to prevent them from being used to further perpetuate the fraudulent activity. To meet requests by the industry and to expedite the communication process (paper distribution of these alerts can take as long as three weeks), the 多宝游戏下载 will begin distribution of these Special Alerts and their attachments through 多宝游戏下载connect. Distribution through this media will allow instantaneous and secure delivery.Available Now多宝游戏下载-Insured Institutions
Administrative
(Data collections, Notifications from and to the 多宝游戏下载, Product Ordering, etc.)		Acquiring a Failed Financial Institution: Use this transaction to express interest in being notified of potentially failing financial institutions. The survey will help the 多宝游戏下载 tailor potential bid lists based on submitted institution preferences such as merger and acquisition contact information, deposit minimum/maximum acquisition size, and geographic areas of interest in acquiring potentially failing institutions. Completing the survey does not mean that you will automatically be notified of all potentially failing institutions that meet stated criteria. The 多宝游戏下载 will review the submitted information to pre-approve each bid list based on a set of supervisory criteria prior to sending notification of a marketing effort. For information regarding loan sales, please access www.fdicsales.com.Available Now 
 Contact 多宝游戏下载 Ombudsman: Use this transaction to send questions, comments, or complaints to the 多宝游戏下载 Ombudsman.Available Now多宝游戏下载-Supervised Institutions
 多宝游戏下载 Online Catalog: Use this transaction to order or download 多宝游戏下载 products. Items such as posters, decals, brochures, and artwork are available for shipping. Items available for download include software applications.Available Now多宝游戏下载-Insured Institutions
 Institution Information: Use this transaction to change or correct the name of your institution or the address of its main office. You can also change or correct a branch name or address, or notify the 多宝游戏下载 of a branch closing.Available Now多宝游戏下载-Insured Institutions
 Logo Request: Use this transaction to order electronic logos from the 多宝游戏下载. The logos can be used in publications and electronic media.Available Now多宝游戏下载-Insured Institutions
 Summary of Deposits - Internet Collection (SOD-IC): Use this application to submit your yearly SOD bank data. A User ID and PIN will be mailed to your institution prior to the reporting deadline, at which time you may log onto to provide your data. There is no need to register with 多宝游戏下载connect to complete the survey; it is located outside of the Business Center.Available NowInstitutions subject to the Summary of Deposits reporting requirement
Deposit Insurance AssessmentAssessment Invoice Delivery: Use this transaction to download the most current and the previous quarters' assessment invoices or certified statements for your institution. Previous quarters back through June 2003 are available. The download will include the assessment guidelines as well as any other documentation included with that invoice or statement.Available Now多宝游戏下载-Insured Institutions
 Assessment Payment Information:

Update ACH Information: Use this transaction to register your institution's Automated Clearing House (ACH) information for assessment payments. You can also update existing ACH information, changing the Account Number, Routing Transit Number (RTN), and selecting the account type, GL or DDA. Additionally, you may update the ACH contact name, phone, and/or fax number. 

Update Payment Option: Use this transaction to establish or terminate participation in the pre-payment and double payment programs. Please note, pre-payment is only available for the January 2nd invoice which you may elect to pay on December 30th. If you elect the pre-pay program, you can then elect to double pay on December 30th as well. Deadline for receipt of these requests to be effective is 60 days prior to the January 2nd invoice date.		Available Now多宝游戏下载-Insured Institutions

Last Updated: April 17, 2025