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Mergers and Acquisitions (Regulatory Applications)

Forms, applications, banking market definitions, and contact information

One of the functions of the Federal Reserve Bank of Minneapolis is to act and make recommendations on applications and notices filed by Ninth District state member banks and bank holding companies. Mergers and Acquisitions staff in the Division of Supervision, Regulation, and Credit carry out this important function. The division also acts or makes recommendations on notices filed by individuals to acquire controlling interests in Ninth District state member banks and bank holding companies.

Mergers and Acquisitions Bulletins

Mergers and Acquisitions-Related Forms and Applications

Application Filing Information

The Application Filing Information website contains general information about the types of filings required by the Federal Reserve and how they are processed. Banking organizations are generally required to notify the Federal Reserve or seek its approval before acquiring banks or companies or engaging in new activities.

Forms

Access to the application forms that must be filed with respect to any activities or actions that require prior notice to and/or prior approval of the Federal Reserve System is available through the Board of Governors’ website. 

Electronic Applications

Electronic Applications (E-Apps) is a web-based application that allows banking organizations supervised by the Federal Reserve System to submit regulatory filings, directly or through their agents, via the internet. There is no charge to use E-Apps, and it will accommodate most regulatory filings. More information about E-Apps, including user aids explaining how to sign up for the system, is available here. You can also download the brochure [pdf].

Actions

The Board of Governors H.2 release—This weekly report provides information about actions taken by the Board, its staff, and the Federal Reserve Banks. The report also lists the applications received by the Federal Reserve Banks and Community Reinvestment Act ratings and evaluations that were recently made available to the public.

Actions, Orders, and other Documents—As they become available, a list of actions by application type taken at the Board or the Reserve Banks can be obtained through the search facility, the Board's index or the index, of the relevant Reserve Bank.

Press releases and Orders for Domestic and Foreign Banking Cases—Press releases and orders relating to actions taken by the Board of Governors are indexed by date.

Applications Received

The Federal Reserve Bank of Minneapolis Weekly Mergers and Acquisitions Bulletin—The Mergers and Acquisitions Bulletin identifies applications and notices recently received by the Minneapolis Fed. The bulletin also discloses the Community Reinvestment Act examination ratings for state member banks whose CRA examination rating became publicly available during the previous week. On a quarterly basis, the bulletin lists those state member banks tentatively scheduled for a CRA examination during the upcoming quarter.

Board of Governors H.2A—The H2.A contains a list of companies and individuals seeking Federal Reserve System approval to acquire a bank holding company, a bank, or a nonbanking company in a transaction that is subject to Section 3 or Section 4 of the Bank Holding Company Act of 1956 or the Change in Bank Control Act. The list indicates the end of the Federal Register comment period for each filing. See contacts and addresses for the Board and Federal Reserve Banks for comments and information requests.

Banking Market Definitions

Refer to the Competitive Analysis and Structure Source Instrument for Depository Institutions, or CASSIDI, for banking market definitions currently used by the Federal Reserve Bank of Minneapolis in analyzing the competitive effects of banking proposals within the Ninth Federal Reserve District.

Banking organizations and the public are encouraged to use the Federal Reserve Bank of St. Louis’ CASSIDI tool to review banking market definitions (structures) and the potential competitive impact of merger or acquisition proposals.

Through CASSIDI, users in the Minneapolis Fed’s Ninth Federal Reserve District and nationwide are able to:

  • view banking market structures and definitions (including related maps),

  • view the banking markets a particular depository institution operates in; and

  • perform "what if" (pro forma) analyses to determine the potential changes a merger or acquisition could have to banking market structures and competition.

CASSIDI strives to be the one-stop shop for your banking competition information needs. If you have questions regarding the use of CASSIDI, please contact us.

Contacts

Reserve Bank staff is available to provide guidance and assistance prior to submission of an application. Questions about applications may also be submitted to M&A Mailbox.