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Forms SHL/SHLA & SHC/SHCA

 
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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
  1. (6-7-2012) Form SHLA (2012): Foreign-Residents' Holdings of U.S. Securities, including Selected Money Market Instruments, as of June 30, 2012.
    Notes: (a) 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.
    (b) These are the same schedules and instructions used for the previous report, SHLA(2011).
    1. NEW Federal Register Notice of mandatory reporting requirements (06/07/2012) PDF icon.
    2. Forms and Instructions (PDF) PDF icon (6-28-2011).
      -- Note: The combined lists in Appendices D and E, (selected foreign official institutions and international and regional organizations, June 2008 revision) can also be accessed here in html format (useful for putting list into a spreadsheet), or with countries separated into geographical regions.


  2. Expired Form SHLA (2011): Foreign-Residents' Holdings of U.S. Securities, including Selected Money Market Instruments, as of June 30, 2011.
    Notes: (a) 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.
    (b) These are the same schedules and instructions used for the previous report, SHLA(2010). The expiration date has been changed to 6-30-2014.
    1. Federal Register Notice of mandatory reporting requirements (06/28/2011) PDF icon.
    2. Forms and Instructions (PDF) PDF icon (6-28-2011).
      -- Note: The combined lists in Appendices D and E, (selected foreign official institutions and international and regional organizations, June 2008 revision) can also be accessed here in html format (useful for putting list into a spreadsheet), or with countries separated into geographical regions.


  3. Expired Form SHLA (2010): Foreign-Residents' Holdings of U.S. Securities, including Selected Money Market Instruments, as of June 30, 2010.
    Notes: (a) 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.
    (b) These are the same schedules and instructions used for the previous report, SHL(2009). A few clarifications have been made in the instructions, and they are marked with vertical lines in the right margin.
    1. Federal Register Notice of mandatory reporting requirements (06/15/2010) PDF icon.
    2. Forms and Instructions (PDF) PDF icon (6-8-2010).
      -- Note: The combined lists in Appendices D and E, (selected foreign official institutions and international and regional organizations, June 2008 revision) can also be accessed here in html format (useful for putting list into a spreadsheet), or with countries separated into geographical regions.


  4. Expired Form SHL (2009): Foreign-Residents' Holdings of U.S. Securities, including Selected Money Market Instruments, as of June 30, 2009.
    Note for those who file annual reports: These are the same schedules and instructions used for the previous report, SHLA(2008), except that the instructions for this benchmark survey are changed to identify the larger number of respondents (see Who Must Report), appendices D and E are included, diskettes are no longer an option for electronic filing (see Appendix H), and there are a few clarifications in the instructions.
    1. Federal Register Notice of mandatory reporting requirements (04/22/2009) PDF icon.
    2. Forms and Instructions (PDF) PDF icon (04/22/09).
      -- Note: The combined lists in Appendices D and E, (selected foreign official institutions and international and regional organizations, June 2008 revision) can also be accessed here in html format (useful for putting list into a spreadsheet), or with countries separated into geographical regions.


  5. Expired 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.
    1. Federal Register Notice of mandatory reporting requirements (06/12/2008) PDF icon.
    2. Forms and Instructions (PDF) PDF icon (06/12/08).
      -- Appendix E: Selected foreign official institutions (June 2008 revision) (06/2008).

  6. Expired 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).
    1. Federal Register Notice of mandatory reporting requirements (04/04/07) PDF icon. 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.
    2. FINAL Forms and Instructions (PDF) PDF icon (04/18/06; appendices D and F revised 5/1/06).
      -- Appendix E: Selected foreign official institutions (May 2006 revision) (06/14/06).
    3. -- FAQs (1/7/08) for SHL and SHLA reports, also in pdf PDF icon format;
      -- Comparison of short-term securities (PDF) PDF icon (05/24/05) between the survey and the TIC monthly reports.
    4. Key Issues for SHLA Software Developers (PDF) PDF icon (08/23/2007).

  7. 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.
    1. Federal Register Notice of mandatory reporting requirements. (04/19/06) PDF icon. 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.
    2. Forms and Instructions PDF icon (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.
      -- Appendix E: Selected foreign official institutions (May 2006 revision) (06/14/06).

  8. Expired Form SHLA (2005): Foreign-Residents' Holdings of U.S. Securities, including Selected Money Market Instruments, as of June 30, 2005.
    1. Federal Register Notice of mandatory reporting requirements. (04/29/05) PDF icon 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.
    2. Final Instructions and Forms PDF icon (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.
    3. Comparison of short-term securities data PDF icon (05/24/05) on the TIC SHL and SHC forms versus the TIC B forms.


  9. Expired Form SHL (2004): Foreign-Residents' Holdings of U.S. Securities, Including Selected Money Market Instruments as of June 30, 2004.
    1. Federal Register Notice of mandatory reporting requirements (03/18/04) PDF icon.
    2. Final Instructions and Form SHL. PDF icon (04/07/04; only changes are updated appendices D (short list of FOIs) and H.) Includes country codes & currency codes.
      -- Flowcharts for Reporting of Funds PDF icon (04/01/04).
      -- Appendix D full list of selected foreign official institutions PDF icon (04/07/04).
    3. Guidelines for Preparing an Error-Free Report PDF icon (04/01/04).
    4. Line-by-Line Differences PDF icon between the March 2000 SHL Forms 1 & 2 and these June 2004 SHL Schedules 1 & 2 (04/28/04).
    5. Key Issues for SHL Software Developers PDF icon (03/31/04).

PART II: benchmark Form SHC & annual Form SHCA
  1. NEW Form SHCA(2012): U.S. Ownership of Foreign Securities, including Selected Money Market Instruments, as of December 31, 2012.
    1. (NEW 09-11-2012) The Federal Register Notice of September 11, 2012 invites comments from the public by November 13, 2012. PDF icon The purpose is to obtain from OMB the normal 3-year renewal of the annual survey SHC/SHCA.
    2. (NEW 09-11-2012) Forms and Instructions. PDF icon These are the same as for the SHC(2011) report, except that the "who must report" section is changed to reflect that SHCA(2012) is an annual report, not a benchmark report. It is effective for the report as of December 31, 2012. 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.
      -- Appendices D and E: PDF icon (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.
    3. List of Selected reincorporated companies (1/7/08) for SHC and SHCA reports, also in pdf PDF icon format;

  2. Expired Form SHC(2011): U.S. Ownership of Foreign Securities, including Selected Money Market Instruments, as of December 31, 2011.
    1. (11-09-2011) The Federal Register Notice of mandatory reporting requirements (November 2011) PDF icon 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, (b) who own and/or invest on behalf of others, a minimum amount of foreign securities, and (c) who receive a letter from the Federal Reserve Bank of New York requiring them to report.
    2. (10-14-2011) Final Forms and Instructions. PDF icon The instructions are updated to indicate that this is a full benchmark survey.
      -- The instructions contain many clarifications, including the following: (1) end-investors include investment managers and fund sponsors; (2) equity securities include ownership interests not evidenced by shares, but represented by contracts/ agreements not held "in safekeeping", such as limited partnership interests; (3) more information on “funds”; (4) how to report investments in, and investments of, funds, including hedge funds and master-feeder structures; (5) an updated definition of direct investment; (6) an updated list of custodians; and (7) new URLs for reporting electronically through IESUB and its successor, Reporting Central. The clarifications align the SHC instructions with other TIC reports such as the SHL(A) and the SLT. Please note that forms and instructions will not be mailed to potential reporters but must be downloaded from the Treasury website.
    3. List of Selected reincorporated companies (1/7/08) for SHC and SHCA reports, also in pdf PDF icon format;

  3. Expired Form SHCA(2010): U.S. Ownership of Foreign Securities, including Selected Money Market Instruments, as of December 31, 2010.
    1. (12-23-2010) The Federal Register Notice of mandatory reporting requirements (December 2010) PDF icon. Entities required to report will be contacted individually by the Federal Reserve Bank of New York. [The panel will include those data reporters who were on the annual 2007, 2008 and 2009 SHCA panels.] Entities not contacted by the Federal Reserve Bank of New York have no reporting responsibilities.
    2. Final Forms and Instructions PDF icon. These are the same as for the SHCA(2009) annual report [Note: The vertical bars in the left hand margin indicate the several changes between the 2008 and 2009 reporting instructions]
      -- Appendices D and E: PDF icon (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.
    3. List of Selected reincorporated companies (1/7/08) for SHC and SHCA reports, also in pdf PDF icon format;

  4. Expired Form SHCA(2009): U.S. Ownership of Foreign Securities, including Selected Money Market Instruments, as of December 31, 2009.
    1. The Federal Register Notice of mandatory reporting requirements (December 2009) PDF icon. 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.
    2. Final Forms and Instructions PDF icon. These are the same as for the SHCA(2008) annual report, except that some currency codes in appendix F are updated, the option of reporting schedule 3 via IESUB (available in 2008) is included in section E (submission instructions), and the expiration date has been changed to 12-31-2012. [Note: The vertical bars in the left hand margin indicate the several changes (on page 4 and Appendix F) from the reporting instructions for SHCA(2008).]
      -- Appendices D and E: PDF icon (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.
    3. List of Selected reincorporated companies (1/7/08) for SHC and SHCA reports, also in pdf PDF icon format;

  5. Expired Form SHCA(2008): U.S. Ownership of Foreign Securities, including Selected Money Market Instruments, as of December 31, 2008.
    1. The Federal Register Notice of mandatory reporting requirements (October 29, 2008) PDF icon. 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.
    2. Final Forms and Instructions PDF icon (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).]
      -- Appendices D and E: PDF icon (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.
    3. List of Selected reincorporated companies (1/7/08) for SHC and SHCA reports, also in pdf PDF icon format;

  6. Expired Form SHCA(2007): U.S. Ownership of Foreign Securities, including Selected Money Market Instruments, as of December 31, 2007.
    1. The Federal Register Notice of mandatory reporting requirements (September 26, 2007) PDF icon. 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.
    2. Final Forms and Instructions PDF icon (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.
      -- Appendices D and E: PDF icon (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.
    3. List of Selected reincorporated companies (1/7/08) for SHC and SHCA reports, also in pdf PDF icon format;

  7. Expired Form SHC (2006): U.S. Ownership of Foreign Securities, including Selected Money Market Instruments, as of December 31, 2006.
    1. The Federal Register Notice of mandatory reporting requirements (October 17, 2006) PDF icon 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.
    2. Final Forms and Instructions PDF icon (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.
    3. -- FAQs PDF icon (11/30/06) for SHC and SHCA Respondents;
      -- Common Reporting Errors PDF icon in SHC and SHCA (11/30/06).
      -- Comparison of short-term securities data PDF icon (05/24/05; unchanged from last year) on the TIC SHL and SHC forms versus the TIC B forms.
    4. Key Issues for SHC(A) Software Developers PDF icon (12/01/2006).
    5. Internet Electronic Submission (IESUB) of reports:
      -- IESUB User Request Form: pdf PDF icon or doc (12/01/04; unchanged from last year)

  8. 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).
    1. Federal Register Notice of mandatory reporting requirements (11/03/05) PDF icon . 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.
    2. Final Instructions and Forms PDF icon (8/22/03, NOTE: these are the same forms and instructions used for SHCA (2003).). Electronic filing - technical information PDF icon (8/22/03, same as appendix I in instructions).
    3. -- FAQs PDF icon (02/01/05) for SHCA reports;
      -- Key Issues for SHCA reports PDF icon (03/21/05).
      -- Comparison of short-term securities data PDF icon (05/24/05) on the TIC SHL and SHC forms versus the TIC B forms.
    4. Key Issues for SHCA Software Developers PDF icon (02/01/2005).
    5. Internet Electronic Submission (IESUB) of reports:
      -- IESUB User Request Form: pdf PDF icon or doc (12/01/04)
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      Last Updated: 9/11/2012 4:45 PM