September 2016 Letter - (PDF)
Final Federal Register notice for FFIEC 009 and FFIEC 009a – published July 20, 2016. The comment period expires August 19, 2016
Letter to reporting institutions about the revisions to the FFIEC 009 and FFIEC 009a proposed to take effect September 30, 2016 - August 3, 2016 (PDF)
Initial Federal Register notice for FFIEC 009 and FFIEC 009a – published April 14, 2016. The comment period expired June 13, 2016
Letter to reporting institutions about the April 2016 proposed revisions to the FFIEC 009 and FFIEC 009a - April 26, 2016 (PDF)
Draft Revised FFIEC 009 Reporting Form and Instructions for the Revisions Proposed to Take Effect September 30, 2016 – July 20, 2016 (PDF)
Draft Revised FFIEC 009a Reporting Form and Instructions for the Revisions Proposed to Take Effect September 30, 2016 – July 20, 2016 (PDF)
FFIEC 009 Frequently Asked Questions – updated September 30, 2015 (PDF)
FFIEC 009a Explanatory Notes - December 30, 2013 (PDF)
Description: This report collects detailed information on the distribution, by country, of claims on foreigners held by certain U.S. banks, savings associations, bank holding companies, savings and loan holding companies, and intermediate holding companies. The FFIEC 009a is a supplement to the FFIEC 009 and provides specific information about the reporting institutions' exposures in particular countries.
Agency OMB Numbers:
Purpose: Supervision and regulation staff use the data to determine the degree of risk in banking organizations portfolios and the effect adverse developments in particular countries may have on banking organizations or the U.S. banking system.
Background: The report was initiated in 1977 as the FR 2036 report and was used to collect data on the distribution, by country, of claims on foreigners held by U.S. banks and bank holding companies. The FDIC and OCC collected similar information from institutions under their supervision. In March 1984, the FR 2036 became a Federal Financial Institutions Examination Council (FFIEC) report and was renumbered FFIEC 009. It was revised in March 1986 to provide more detail on guaranteed claims. In 1995, the report was revised to add an item for revaluation gains on off-balance-sheet items and an item for securities held in trading accounts, and several items were combined.
Respondent Panel: The panel consists of U.S. banks, savings associations, bank holding companies, savings and loan holding companies, and intermediate holding companies holding $30 million or more in claims on residents of foreign countries. Respondents file the FFIEC 009a if exposures to a country exceed 1 percent of total assets or 20 percent of capital of the reporting institution. FFIEC 009a respondents also furnish a list of countries in which exposures were between 3/4 of 1 percent and 1 percent of total assets or between 15 and 20 percent of capital. Participation is required.
Frequency: Quarterly, as of the last business day of the quarter.
Public Release: Aggregate data are published in the Country Exposure Lending Survey (E.16) statistical release and are made available to staff at the Bank for International Settlements for their statistical publications on the overall indebtedness of various countries throughout the world. Microdata are confidential.