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Reporting Forms - FFIEC 101
Regulatory Capital Reporting for Institutions Subject to the Advanced Capital Adequacy Framework

FFIEC 101 September 2014 Reporting Form - current version (PDF)
FFIEC 101 Instructions - current version (last update September 2014) (PDF)

Final Federal Register notice for the revisions to the FFIEC 101 - published January 14, 2014. The comment period expires February 13, 2014.(PDF)

Initial Federal Register notice for the proposed revisions to the FFIEC 101 - published August 12, 2013. The comment period expiredS October 11, 2013. (PDF)

FIL-3-2014 Revisions to the FFIEC 101 Report (PDF)

FIL-41-2013 Proposed Regulatory Capital Reporting Changes (PDF)

Historical Versions
Validation Criteria


Description: Reporting Schedules A through S collect information about the components of reporting entities’ regulatory capital, risk-weighted assets by type of credit risk exposure under the Advanced Internal Ratings-Based Approach, and risk-weighted assets and operational losses under the Advanced Measurement Approach.

Agency OMB Numbers:

FRB
FDIC
OCC
7100-0319 3064-0159 1557-0239

Purpose: The agencies use the reported data to assess and monitor the levels and components of each reporting entity’s risk-based capital requirements and the adequacy of the entity’s capital under the Advanced Capital Adequacy Framework; to evaluate the impact and competitive implications of the Advanced Capital Adequacy Framework on both an individual reporting entity and an industry-wide basis; and to supplement on-site examination processes. The reporting schedules also assist advanced approaches institutions in understanding expectations around the system development necessary for implementation and validation of the Advanced Capital Adequacy Framework.

Background: Schedules A through S of the FFIEC 101 represent the reporting requirements associated with the agencies’ Advanced Capital Adequacy Framework. The Advanced Capital Adequacy Framework took effect April 1, 2008, and the FFIEC 101 was first collected as of December 31, 2008. Reporting schedules have been updated consistent with the agencies’ regulatory capital rules (as revised in July 2013) effective as of the March 31, 2014, report date. Specifically, Schedule A was revised to incorporate the Basel III common disclosure template for reporting regulatory capital, as well as to incorporate the reporting of a supplementary leverage ratio consistent with the revised regulatory capital rules. Certain risk-weighted assets schedules (Schedules B, C, D, H, I, J, P, Q, and R) were also revised consistent with the revised regulatory capital rules to facilitate the timely implementation of the revised advanced approaches rules in 2014.

Respondent Panel: The panel consists of banks, savings associations, bank holding companies, and savings and loan holding companies that are subject to the Advanced Capital Adequacy Framework to determine their capital requirements.

Frequency: Quarterly, as of the last calendar day of March, June, September, and December.

Public Release: For all advanced approaches institutions regardless of their parallel run status, all data items collected in Schedule A, except for a few advanced-approaches-specific items, are available to the public beginning with the March 31, 2014, report date. For report dates after a reporting institution has completed its parallel run period, all items reported in Schedules A and B (except for Schedule B, items 31.a and 31.b, column D) and items 1 and 2 of Schedule S are available to the public. All other items reported in the FFIEC 101 are accorded confidential treatment. All nonconfidential data are available through the FFIEC web site http://www.ffiec.gov/nicpubweb/nicweb/nichome.aspx.

 

Historical Versions:
Documents are in Portable Document Format (PDF).

2014
June March
2013
December September June March
2012
December September June March
2011
December September June March
2010
December September June
2008
    June  


FFIEC 101 Instructions - issued June 2014

FFIEC 101 Instructions - issued March 2014

FFIEC 101 Instructions - issued June 2013

FFIEC 101 Instructions - issued December 2012

FFIEC 101 Instructions - issued September 2012

FFIEC 101 Instructions - issued March 2011

FFIEC 101 Instructions - issued September 2010

FFIEC 101 Instructions - issued June 2009

FFIEC 101 Instructions - issued June 2008

 

Validation Criteria:


Effective for report dates June 2014 through current:
  • Validity Edits: Excel | PDF - Final (updated June 16, 2014)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated June 16, 2014)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated June 16, 2014)

Effective for report date March 2014:
  • Validity Edits: Excel | PDF - Final (updated June 2, 2014)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated April 9, 2014)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated April 9, 2014)

Effective for report dates June 2013 through December 2013:
  • Validity Edits: Excel | PDF - Final (updated July 3, 2013)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated July 3, 2013)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated July 3, 2013)

Effective for report date March 2013:
  • Validity Edits: Excel | PDF - Final (updated March 22, 2013)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated March 22, 2013)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated March 22, 2013)

Effective for report date June 2011 through December 2012:
  • Validity Edits: Excel | PDF - Final (updated June 1, 2011)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated June 1, 2011)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated June 1, 2011)
Effective for report date March 2011:
  • Validity Edits: Excel | PDF - Final (updated March 21, 2011)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated March 21, 2011)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated March 21, 2011)

Effective for report dates June 2010 through December 2010:

  • Validity Edits: Excel | PDF - Final (updated May 28, 2010)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated May 28, 2010)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated May 28, 2010)

Effective for report dates December 2008 through March 2010:


  • Validity Edits: Excel | PDF - Final (updated July 22, 2009)
  • Quality, Intraseries, and Interseries Edits: Excel | PDF - Final (updated July 22, 2009)
  • Post Submission Interseries Edits: Excel | PDF- Final (updated July 22, 2009)