Reporting and Recordkeeping Requirements for Brokered Deposits

OMB 3064-0099

Section 29 of the Federal Deposit Insurance Act prohibits undercapitalized insured depository institutions from accepting, renewing, or rolling over any brokered deposits. Adequately capitalized institutions may do so with a waiver from the FDIC, while well-capitalized institutions may accept, renew, or roll over brokered deposits without restriction.

The latest form for Reporting and Recordkeeping Requirements for Brokered Deposits expires 2021-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
SPST-0099 Reporting and RK Requirements for Brokered Deposits NPR Aug 2024.docx Supporting Statement A
Application for Waiver of Prohibition on Acceptance of Brokered Deposits
Reporting for Primary Purpose Exception Not Based on Business Arrangements that meets a Designated Exception - Ongoing
Reporting for Primary Purpose Exception Based on the Placement of Less Than 10 Percent of Customer Assets Under Management with Additional 3rd Party - Ongoing
Notice Submission for Primary Purpose Exception Based on the Placement of Less Than 10 Percent of Customer Assets Under Administration - Ongoing
Application for Primary Purpose Exception Not Based on Business Arrangements that Meets a Designated Exception - Implementation
Application for Primary Purpose Exception Based on 10 Test With Additional 3rd Party - Implementation
Notice Submission for Primary Purpose Exception Based on Placement of Less Than 10 Percent of Customer Assets Under Management - Implementation

All Historical Document Collections

202409-3064-002	Revision of a currently approved collection	2024-09-20
202308-3064-001 Approved without change	Extension without change of a currently approved collection	2024-03-20
202102-3064-001 Approved without change	Revision of a currently approved collection	2021-02-05
202011-3064-003	Extension without change of a currently approved collection	2020-11-30
202002-3064-001 Preapproved	Revision of a currently approved collection	2020-02-10
201702-3064-010 Approved without change	Extension without change of a currently approved collection	2017-07-27
201312-3064-007 Approved without change	Extension without change of a currently approved collection	2014-03-27
201012-3064-011 Approved without change	Extension without change of a currently approved collection	2011-02-24
200710-3064-006 Approved without change	Extension without change of a currently approved collection	2007-10-29
200408-3064-001 Approved without change	Extension without change of a currently approved collection	2004-08-09
200108-3064-005 Approved without change	Revision of a currently approved collection	2001-08-29
199807-3064-003 Approved without change	Extension without change of a currently approved collection	1998-07-23
199506-3064-001 Approved without change	Extension without change of a currently approved collection	1995-06-08
199204-3064-002 Approved without change	Revision of a currently approved collection	1992-04-16
198911-3064-005 Approved without change	New collection (Request for a new OMB Control Number)	1989-11-30