Nebraska Administrative Code
Topic - BANKING AND FINANCE, DEPARTMENT OF
Title 45 - BANKING RULES
Chapter 3 - DATA CENTER RECORD KEEPING STANDARDS
Section 45-3-006 - REQUIRED DATA - SECURITIES

Universal Citation: 45 NE Admin Rules and Regs ch 3 ยง 006

Current through March 20, 2024

006.01 If any of the following accounts are maintained in the computer records, they must be identified by a unique code. A range of account numbers is not an acceptable method.

006.01A TYPE CODE - Designates the obligor or type of instrument
006.01A1 U.S. Treasury

006.01A2 Federal Agencies not guaranteed

006.01A3 State, County, and Municipals

006.01A4 Other bonds, notes, and debentures

006.01A5 Stocks

006.01B Required Fields of Data:
006.01B1 SECURITY OR ACCOUNT NUMBER The number assigned to the security.

006.01B2 NAME OF ISSUER Name of the issuer liable for re-payment and nature of the obligation as stated on the face of the instrument.

006.01B3 COUPON DATES Month and day the interest coupon may be redeemed.

006.01B4 MATURITY DATE Date the obligation will mature and principal amount of the investment that will be re-paid to the holder. (This is not necessarily the optional call date of the instrument.)

006.01B5 PAR VALUE Amount of principal which will be paid to the holder by the obligor on maturity date.

006.01B6 CALL DATE If security provides for a call option, call date must be recorded.

006.01B7 DATE PURCHASED Date on which the security became an asset of the bank. (This is not necessarily the date on which a bid or offer to buy was made by the bank.)

006.01B8 SOURCE OF PURCHASE CODE Identification of the source from which the security was purchased.

006.01B9 PURCHASE PRICE Price paid for the security including broker fees less accrued interest.

006.01B10 BOOK VALUE Purchase price adjusted for the appropriate accretion or amortization.

006.01B11 MARKET VALUE Must be updated at least every 90 days.

006.01B12 INTEREST RATE Rate of interest which the obligor has agreed to pay to the holder of the security.

006.01B13 YIELD Rate of return on the security.

006.01B14 CUSIP NUMBER (IF USED) Unique identifier number assigned to the security that gives a description of the security.

006.01B15 CREDIT RATING Current rating assigned to the security by any rating service. It is recommended that this be updated quarterly by using a reliable source.

006.01B16 RATING SOURCE Source used to obtain the current rating.

006.01B17 REPURCHASE OR RESALE INDICATOR An indicator which signifies the security has a repurchase or resale agreement.

006.01B18 GUARANTEE OR INSURANCE INDICATOR An indicator which signifies the security is insured or guaranteed.

006.01B19 PLEDGED CODE Those securities which are pledged must be identified by the entity or entities to whom the security is pledged. A current list of codes assigned must be maintained at the bank. A single code may be used to identify multiple entities.

006.01B20 PLEDGED AMOUNT That amount of the security that is pledged. If the security is pledged to more than one entity, this field must contain the aggregate amount pledged.

006.01B21 DISCOUNT ACCRETED That portion of the discount (face value less price paid) not including accrued interest, which has been accreted since the date of acquisition. Premium amortized and discount accreted may be the same field.

006.01B22 PREMIUM AMORTIZED That portion of the premium (purchase price less face value) not including accrued interest, which has been amortized since the date of acquisition.

006.01B23 ACCRUED INTEREST PURCHASED Amount of accrued interest paid to the seller.

006.01B24 SAFEKEEPING NUMBER The number of the safekeeping receipt, issued by the responsible party for the security.

006.01B25 SAFEKEEPING LOCATION Name or a code of the physical location where the security is held within the bank or the identity of the institution responsible for safekeeping.

Disclaimer: These regulations may not be the most recent version. Nebraska may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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