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Home > Deposit Insurance > Are My Deposits Insured? > Deposit Broker's Processing Guide

Deposit Broker's Processing Guide

For overnight packages sent after October 24, 2007, please use the following address:

Federal Deposit Insurance Corporation
Attention: Lynette Martin
1601 Bryan Street
Dallas, Texas 75201

Update: April 25, 2005
Notice to Brokers:

As of April 25, 2005, the FDIC has established an online subscription service  to allow Brokers to receive information when either of two events occur that may affect you. These two events include:
  1. changes are made by the FDIC to the Depositor Brokers Processing Guide
  2. a financial institution insured by the FDIC is closed.
This new online subscription service  is intended to assist you in the following:
  1. the timely identification of any modifications you or your firm may wish to make to your internal processes in response to changes in the filing requirements required in the Deposit Broker's Processing Guide.
  2. prompt notification of the closing of an FDIC insured financial institution in which your firm may have deposited funds.

Please note that information will be sent to all registrants and the subscription service will not be used to communicate with individual Brokers. Therefore, your receipt of information concerning a bank failure will not necessarily be an indication that you or your firm had brokered funds at the failed bank.

If you are interested in receiving information, please register with the Online Subscription Service by providing your Email Address and Occupation or Affiliation. In order to receive the above information, when registering please check the box next to "Deposit Brokers" on the Publication List in the right column.

Update: September 30, 2004
For the following forms, OMB Numbers and FDIC Numbers were added and the expiration dates updated.

The following documents are formatted as Word files.

Word Help - Information on obtaining Microsoft® Word.

Declaration for Custodian Deposit 41k
Declaration for Joint Ownership Deposit 52k
Declaration for Testamentary Deposit (Single Grantor) 44k
Declaration for Testamentary Deposit (Multiple Grantors) 63k
Declaration for Trust 69k
Declaration of Independent Activity 51k
Declaration of Independent Activity for Unincorporated Association 54k
Declaration for Public Unit Deposit 52k
Declaration for IRA/KEOGH Deposit 41k
Declaration for Plan and Trust 46k
Declaration for Defined Benefit Plan 46k
Declaration for Defined Contribution Plan 55k
Declaration for Health and Welfare Plan 43k
For the following forms, FDIC Numbers were added.

The following documents are formatted as Word files.

Word Help - Information on obtaining Microsoft® Word.

Power of Attorney 41k
Declaration for Power of Attorney 35k


The sole purpose of this Processing Guide is to facilitate the transmission of information from deposit brokers to the Federal Deposit Insurance Corporation ("FDIC"). Nothing in this Processing Guide should be construed as an endorsement by the FDIC of the practices of a particular deposit broker. Similarly, the Processing Guide should not be construed as a statement of how the FDIC will calculate the insurance coverage of a particular deposit. The rules for determining the deposit insurance are provided in the FDIC’s regulations at 12 C.F.R. Part 330.

Also, note:

  • The FDIC’s insurance regulations and the contents of this Processing Guide are subject to change.
  • The submission of false information to the FDIC could result in the imposition of serious criminal penalties under 18 U.S.C. §1007.
  • "Pass through" deposit insurance coverage is not available for deposits held by any trust or other business arrangement that has filed or is required to file a registration statement with the Securities and Exchange Commission pursuant to Section 8 of the investment act of 1940, subject to the provisions in the FDIC’s insurance regulations at 12 C.F.R. §330.11(a)(2).
This site is intended to:
  1. Provide a reference guide to deposit brokers acting as agents for their investor clientele.  This site outlines the FDIC's policies and procedures that must be followed by deposit brokers when filing for pass-through insurance coverage on custodial accounts deposited in a failed FDIC Insured Institution.

  2. Provide copies of forms and a submission file format that Deposit Brokers must use to provide information for the FDIC to determine pass-through deposit insurance coverage on each custodial account.  This information may be downloaded for your convenience.

Deposit Brokers' Insurance Guide - Overview.

Deposit Broker Processing Guide - Table of Contents.

To Deposit Brokers' Investors:

The FDIC must receive the custodial fund information directly from the Deposit Broker who opened the deposit account at the failed FDIC insured institution.

If you have any inquiries, please contact Lynette Martin (972) 761-2524 or Debra Foster at
972-761-2502; or to e-mail click on the contact name below.

Last Updated 03/26/2008 bdclaims@fdic.gov

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