Understanding the Organization Hierarchy Report

The Standard Organization Hierarchy Report

Reports are displayed in either PDF or HTML format. If more than 200 institutions are found in the hierarchy, the PDF report format will be automatically generated, even if the HTML format was selected. The hierarchy report is displayed with the name of the selected institution (the name is a hyperlink to the institutions' profile) and each of the institution types that are included in the report. The most recent as of date will be automatically selected and displayed, if no date is specified in the as of date selection box, when the report is created.

Report Column Headings

• Sequence Number: An arbitrary number that determines an institution's position in the hierarchy report.
  
• Institution Name (RSSD ID): The legal name of the institution with its Federal Reserve Bank assigned identification number in parenthesis.
  
• Parent Sequence Number: This number corresponds to the Sequence Number and indicates which institution is the parent of the selected institution.
  
• City: Will be displayed if the institution is located in the United States.
  
• State: Will be displayed if the institution is located in the United States.
  
• Country: The name of the country will only appear if the institution is located outside of the United States.

The selected institution is identified in the report by a preceding asterisk (*). The report displays the institutions that are owned
by the selected institution. The as-of date and the Starting Point determines which institutions in the ownership relationship will be
displayed in the report.

• If you start the report from the Top Holder, the selected institution's Top Holder will be the first institution displayed
  in the hierarchy report. This list is continued until no more subsidiaries are found.
• If the selected institution does not own any institutions no report will be available and the message "No hierarchy report is available for the selected 'As of date' and search criteria. Please modify your search and try again".
• If recursive relationships are found, the ownership relationship will be shown the first time. All subsequent times the
  relationship will be referenced by sequence number as “Repeats from x.”
• For institutions that are non-controlled subsidiaries, the hierarchy will display that institution. However, it will not display
  any of the non-controlled subsidiary institution's subsidiaries. The institution will be preceded by double asterisks (**).
  A message will also be displayed at the bottom of the report indicating:

“**For purposes of Regulation Y, the top-tier reporter's ownership level in this banking organization does not meet the definition of "control"; however, the ownership level does meet the FR Y-10/10F reportability criteria as this banking relationship is regulated by the Federal Reserve.”

How to Read the Standard Organization Hierarchy Report with All Institution Types As-Of October 25, 2005

The selected institution, Popular, Inc. (1129382), is the top tier in this example.

Popular, Inc. (1129382) is in Seq Num 1, and its Parent Seq Num is blank, which means that this was the selected starting point for creating the report.

Popular, Inc. (1129382) is the parent of the institutions in Seq Numbers 2, 3, 4, and 8.

The two dashes (--) in front indicates that the institution is two levels down from the parent.

• Scan Puerto Rico (3356155); Seq Num 5 is two levels (--) down from Popular, Inc. (1129382); Seq Num 1.
• Scan Puerto Rico (3356155); Seq Num 5 is one level (-) down from its parent Evertec, Inc. (2617073); Parent Seq Num 4.

Here is another example..

• Banponce Trust I (2559427); Seq Num 13 is three levels (---) down from Popular, Inc. (1129382); Parent Seq Num 12.
• Popular North America, Inc. (2138466); Seq Num 12 is two levels (--) down from Popular International Bank, Inc. (2006118); Parent Seq Num 8.
• Popular, Inc. (1129382); Parent Seq Num 1 is the direct parent of Popular International Bank, Inc. (2006118); Seq Num 8.

How to Read the Standard Organization Hierarchy Report by Institution Type

The following is an example of a Standard Organization Hierarchy Report where we were looking for Commercial Banks. The Starting Point for the report was with Citigroup, Inc. (1951350) a Financial Holding Company. The report was created using October 18, 2005 as the report date.

Although we specified Commercial Banks, other institutions type are listed here but are clearly not Commercial Banks. Other institution types are included in the report because they are the parents of an institution that is a Commercial Bank.

Take a look at Seq Num 6; California Commerce Bank (750864). This is a Non-member, Commercial Bank and correctly appears on the report. Although, California Commerce Bank (750864) is 5 levels down from the selected institution, Citigroup (1951350), all of the parents in the Hierarchy need to be displayed to complete the hierarchical relationship.

Take a look at Seq Num 8; Grupo Financiero Banamex, S.A. de C.V. (2134301). This happens to be a a Commercial Bank and its parent, Citicorp (Mexico) Holdings LLC (3074691) is Parent Seq Num 7. Even though Citicorp (Mexico) Holdings LLC (3074691) is actually a Holding Company and not a Commercial Bank, it must be included in the report to complete the hierarchical relationship.

Understanding the HMDA Respondents Reports

HMDA data are reported annually and two years of data are available at any given time. When selecting HMDA reports, only year-end dates are valid. HMDA filers are assigned ID numbers by the different regulatory agencies ( OTS, FRS, OCC, etc.).

As with the Standard Organization Hierarchy Report, the HMDA Respondents Report contains a brief summary of the information provided in the report. The summary includes the name of the selected institution, the selected year date, and the following information about the selected institution:

Report Column Headings

• Sequence Number: An arbitrary number that determines an institution's position in the hierarchy report.
  
• Institution Name (RSSD ID): The legal name of the institution with its Federal Reserve Bank assigned identification number in parenthesis.
  
• Parent Sequence Number: This number corresponds to the Sequence Number and indicates which institution is the parent of the selected institution.
  
• City: Will be displayed if the institution is located in the United States.
  
• State: Will be displayed if the institution is located in the United States.
  
• Country: The name of the country will only appear if the institution is located outside of the United States.

Click here to view definitions of All Institution Types.