Description:
Forms SHL/SHLA cover U.S. liabilities to foreign-residents
that invest in U.S. securities. Forms SHC/SHCA cover U.S. claims
on foreign-residents resulting from U.S. investment in foreign
securities. Forms SHL and SHC are used for large benchmark
surveys conducted only every five years; forms SHLA and SHCA
are used for smaller annual surveys conducted during the intervening
years. All of these forms are part of the Treasury International
Capital (TIC) data reporting system, which is required by
law (22 U.S.C. 3101 et seq.; E.O. 11961; 31 C.F.R. 129), and
are designed to collect reliable information on international
portfolio capital. This information is necessary for compiling
the U.S. balance of payments accounts and the U.S. international
investment position, and for formulating U.S. international
financial and monetary policies.
Who Reports on the forms:
U.S.-resident custodians report on all of these forms. In
addition, forms SHL & SHLA are used by U.S.-resident issuers of
securities held by foreigners. Forms SHC & SHCA are used by
U.S.-resident investors in foreign securities. See instructions
regarding exemptions.
Forms and Instructions:
PART I: benchmark Form SHL & annual Form SHLA
(June 2008) Form SHLA (2008): Foreign-Residents' Holdings
of U.S. Securities, including Selected Money Market Instruments,
as of June 30, 2008.
Notes: (a) These are the same schedules and instructions used
for the previous report, SHLA(2007), except that the OMB expiration date
has been changed to 6/30/2011.
(b) Entities required to report will be contacted individually by the Federal
Reserve Bank of New York. Entities not contacted by the Federal Reserve Bank
of New York have no reporting responsibilities.
(June 2008) Federal Register Notice of mandatory reporting requirements
(06/12/2008).
Form SHLA (2007): Foreign-Residents' Holdings
of U.S. Securities, including Selected Money Market Instruments,
as of June 30, 2007.
Note: These are the same schedules and instructions used
for the previous report, SHLA(2006).
Federal Register Notice of mandatory reporting requirements
(04/04/07).
Entities required to report will be contacted individually by the Federal
Reserve Bank of New York. Entities not contacted by the Federal Reserve Bank
of New York have no reporting responsibilities.
Expired Form SHLA (2006): Foreign-Residents' Holdings
of U.S. Securities, including Selected Money Market Instruments,
as of June 30, 2006.
Note: These are the same schedules and instructions used
for the previous report, SHLA(2005), EXCEPT that there is
a longer list of countries, areas, and organizations in appendix
C. Also, there are revisions in appendices D, E and F.
Federal Register Notice of mandatory reporting requirements.
(04/19/06). Entities required to report will
be contacted individually by the Federal Reserve Bank of New York. Entities not contacted
by the Federal Reserve Bank of New York have no reporting responsibilities.
Forms
and Instructions
(04/18/06; appendices D and F revised 5/1/06). Changes
to appendices C, D, E, and F are marked with black vertical bars.
--
(May 2006 revision) (06/14/06).
Expired Form SHLA (2005): Foreign-Residents' Holdings
of U.S. Securities, including Selected Money Market Instruments,
as of June 30, 2005.
Federal Register Notice of mandatory reporting requirements.
(04/29/05) Entities required to report will
be contacted individually by the Federal Reserve Bank of New York. Entities not contacted
by the Federal Reserve Bank of New York have no reporting responsibilities.
Final
Instructions and Forms
(04/29/05). Changes to Schedules. (a) Schedule 1 now includes
a "Valuation Technique" section. (b) Two items are no longer required on the Schedule 2: (1) item 11
"Registered/Bearer indicator" and (2) item 17 "If U.S. Fair Market Value is zero..." Both of these
items will remain on the form but have been renamed as "intentionally left blank". (c) There is a
new code added to item 15 "Type of Foreign Holder" (1= Official, 2= Individual 3= Other).
Changes to Instructions: In the country lists in appendices C and E, added Wallis
and Futuna, with its new code; updated several names with no code changes.
(10-30-2008) FINAL Form SHCA(2008): U.S. Ownership of Foreign Securities, including
Selected Money Market Instruments, as of December 31, 2008.
The Federal Register Notice of mandatory reporting requirements
(October 29, 2008).
Entities required to report will be contacted individually
by the Federal Reserve Bank of New York. Entities not
contacted by the Federal Reserve Bank of New York have
no reporting responsibilities.
Final Forms and Instructions
(October 30, 2008). These are the same as for the SHCA(2007) annual report,
except that some currency codes in appendix F have been updated.
[Note: The vertical bars in the left hand margin indicate the
several changes from the reporting instructions for SHCA(2007).]
--
(June 2006). This Geographical Classification file contains
codes for foreign countries, areas, and organizations.
The last few pages, beginning on page 11, contain appendix
E's List of International and Regional Organizations.
Expired Form SHCA(2007): U.S. Ownership of Foreign Securities, including
Selected Money Market Instruments, as of December 31, 2007.
The Federal Register Notice of mandatory reporting requirements
.
Entities required to report will be contacted individually
by the Federal Reserve Bank of New York. Entities not
contacted by the Federal Reserve Bank of New York have
no reporting responsibilities.
Final Forms and Instructions
(September 26, 2007). The vertical bars in the left hand margin indicate the several changes from
the reporting instructions for the SHC(2006) benchmark report.
--
(Jan. 2006). This Geographical Classification file contains
codes for foreign countries, areas, and organizations.
The last few pages, beginning on page 11, contain appendix
E's List of International and Regional Organizations.
Expired Form SHC (2006): U.S. Ownership of Foreign Securities,
including Selected Money Market Instruments, as of December
31, 2006.
The Federal Register Notice of mandatory reporting requirements
affects all U.S. persons, including affiliates of foreign entities, (a) who manage, as custodians,
the safekeeping of a minimum amount of foreign securities for U.S. persons, and/or (b) who own a
minimum amount of foreign securities.
Final Forms and Instructions
(minor revision Dec 1, 2006: (1) in top right corner of first page, entered correct
expiration date and deleted the word "draft"; and (2) changed name of pdf file.)
(Last revised 7/18/06: (a) on page 9 added the last
point in section D on repos to further clarify reporting
of securities; and (b) removed Bladex from appendix
D because it is in appendix E.) All revisions from last
year's instructions are marked with black vertical bars
in the margins.
Internet Electronic Submission (IESUB) of reports:
-- IESUB User Request Form: pdf
or doc
(12/01/04; unchanged from last year)
Expired Form SHCA (2005): U.S.
Ownership of Foreign Securities, including Selected Money
Market Instruments, as of December 31, 2005. NOTE: Respondents should use the same forms and instructions
used for SHCA (2004).
Federal Register Notice of mandatory reporting requirements
(11/03/05)
. Entities required to report will be contacted individually
by the Federal Reserve Bank of New York. Entities not
contacted by the Federal Reserve Bank of New York have
no reporting responsibilities.
.
