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Inactive Financial Institution Letters

February 04, 2014

Recordkeeping and Confirmation Requirements for Securities Transactions



On December 10, 2013, the FDIC approved a Final Rule amending 12 C.F.R. Part 344 to establish uniform recordkeeping and confirmation requirements for all FDIC-supervised institutions. The Final Rule also increased the threshold for certain recordkeeping requirements, lessening industry burden.

Statement of Applicability to Institutions Under $1 Billion in Total Assets: This Financial Institution Letter applies to all FDIC-supervised financial institutions.


Suggested Distribution:

Suggested Routing:




FDIC Financial Institution Letters (FILs) may be accessed from the FDIC's Web site at

To receive FILs electronically, please visit

Paper copies of FDIC FILs may be obtained through the FDIC's Public Information Center,

3501 Fairfax Drive, Room E 1002, Arlington, VA 22226 (1-877-275-3342 or 703-562-2200).