Collateral Documents

 

Collateralization of Public Deposits in NC

This handbook describes how the Collateralization program in NC operates and how banks and public depositors must comply with the standards.

Pooling Bank List

List of financial institutions using the pooling method for collateral.

 

Pledge and/or Release Collateral

COLL-95 Request for Collateral Pledge and/or Release Form

Request made by the depository to pledge additional collateral to the State Treasurer or to release pledged securities no longer needed (or matured).

 

Monthly / Quarterly Reports

COLL-96 Report on Public Deposits by Month or Quarter

Quarterly report submitted by the pooling method banks to report all public deposits and balances held for the preceding quarter or month.

COLL-99 Selected Financial Data Report

Information taken from the Call Report filed by the bank with the FFIEC.  This form reports the bank's capital position.

 

Annual Reports

COLL-91 Instructions

Instructions for completing form COLL-91.

 

COLL-91 Annual Notification of Accounts by Public Depositor

Completed annually by the public depositor and submitted to the financial institution where funds are held. It provides a list of the accounts at the bank that should be included in public deposit calculations for collateralization purposes.

 

COLL-97 Annual Report of Public Deposit Accounts by Bank

Report completed annually by participating banks detailing the public depositors and their balances.

 

COLL-98 Collateral Report for Public Deposits

Listing provided by the depository banks of the escrow agents holding pledged securities, as well as the values of these securities.

 

To Become a Pooling Method Bank

COLL-92 Election of Pooling Method

Completed by a financial institution to notify the Department of State Treasurer of their participation in the pooling method of collateralization.

 

COLL-93A Security Agreement with Resolution (Pooling Method)

Resolution completed by the depository holding public funds designating their intent to collateralize under the pooling method.

 

COLL-93B Escrow Agent Agreement (Pooling Method)

Tri-party agreement among the pooling method bank, the escrow agent and the State Treasurer.

 

COLL-99 Selected Financial Data Report

Information taken from the Call Report filed by the bank with the FFIEC.  This form reports the bank's capital position.

 

To Become a Dedicated Method Bank

COLL-94A Security Agreement with Resolution (Dedicated Method)

Resolution completed by the depository holding public funds designating their intent to collateralize under the dedicated method.

 

COLL-94B Escrow Agent Agreement (Dedicated Method)

Tri-party agreement among the dedicated method bank, the escrow agent and the State Treasurer.

Collateralization of Public Deposits

All public funds on deposit with financial institutions must be insured against bank failure.  The Collateralization of Public Deposits in NC document details how the financial institutions provide this insurance over and above what is provided by the FDIC to ensure that all public funds are made whole.

Collateralization Forms and Agreements
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Collateral Documents

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