SEC and Other Regulatory Filings

Scroll down this page to view:

• SEC Filings
• Call and Y9C Reports
• Basel Pillar 3 Disclosures
• Market Risk Rule Disclosure
• Liquidity Coverage Ratio Disclosure
• Dodd-Frank Act Stress Test Disclosure
• Global Tax Strategy

SEC Filings

Recent Northern Trust filings with the Securities and Exchange Commission

• First Quarter - 2019
• Viewable XBRL files are available on the SEC website.
• Section 16 filings
• Other SEC filings (with exhibits)
• Additional Interactive Data Filings
  

Call and Y9C Reports

Northern Trust Corporation

• Y9C Report Fourth Quarter 2018
• Y9C Report Third Quarter 2018
• Y9C Report Second Quarter 2018
• Y9C Report First Quarter 2018
• Y9C Report Fourth Quarter 2017
• Y9C Report Third Quarter 2017
• Y9C Report Second Quarter 2017
• Y9C Report First Quarter 2017
• Y9C Report Fourth Quarter 2016
• Y9C Report Third Quarter 2016
• Y9C Report Second Quarter 2016
• Y9C Report First Quarter 2016
• Y9C Report Fourth Quarter 2015
• Y9C Report Third Quarter 2015
• Y9C Report Second Quarter 2015
• Y9C Report First Quarter 2015
• Y9C Report Fourth Quarter 2014
• Y9C Report Third Quarter 2014
• Y9C Report Second Quarter 2014
• Y9C Report First Quarter 2014
• Y9C Report Fourth Quarter 2013
• Y9C Report Third Quarter 2013
• Y9C Report Second Quarter 2013
• Y9C Report First Quarter 2013

The Northern Trust Company

• Call Report Fourth Quarter 2018
• Balance Sheet Fourth Quarter 2018
• Call Report Third Quarter 2018
• Balance Sheet Third Quarter 2018
• Call Report Second Quarter 2018
• Balance Sheet Second Quarter 2018
• Call Report First Quarter 2018
• Balance Sheet First Quarter 2018
• Call Report Fourth Quarter 2017
• Balance Sheet Fourth Quarter 2017
• Call Report  Call Report Third Quarter 2017
• Balance Sheet Third Quarter 2017
• Call Report Second Quarter 2017
• Balance Sheet Second Quarter 2017
• Call Report First Quarter 2017
• Balance Sheet First Quarter 2017
• Call Report Fourth Quarter 2016
• Balance Sheet Fourth Quarter 2016
• Call Report Third Quarter 2016
• Balance Sheet Third Quarter 2016
• Call Report Second Quarter 2016
• Balance Sheet Second Quarter 2016
• Call Report First Quarter 2016
• Balance Sheet First Quarter 2016
• Call Report Fourth Quarter 2015
• Balance Sheet Fourth Quarter 2015
• Call Report Third Quarter 2015
• Balance Sheet Third Quarter 2015
• Call Report Second Quarter 2015
• Balance Sheet Second Quarter 2015
• Call Report First Quarter 2015
• Balance Sheet First Quarter 2015
• Call Report Fourth Quarter 2014
• Balance Sheet Fourth Quarter 2014
• Call Report Third Quarter 2014
• Balance Sheet Third Quarter 2014
• Call Report Second Quarter 2014
• Balance Sheet Second Quarter 2014
• Call Report First Quarter 2014
• Balance Sheet First Quarter 2014
• Call Report Fourth Quarter 2013
• Balance Sheet Fourth Quarter 2013
• Call Report Third Quarter 2013
• Balance Sheet Third Quarter 2013
• Call Report Second Quarter 2013
• Balance Sheet Second Quarter 2013
• Call Report First Quarter 2013
• Balance Sheet First Quarter 2013

Basel Pillar 3 Disclosures

Pillar 3 requires qualitative and quantitative descriptions of capital structure, capital adequacy, internal control processes, risk management and the nature of underlying risks. The purpose of Pillar 3 disclosures is to provide information on banking institutions’ regulatory capital and risk management practices.

Below are links to the Basel Pillar 3 reports of Northern Trust Corporation and its non-U.S. legal entities for which publication on our website is required or recommended by regulators.

• Northern Trust Corporation
  • Fourth Quarter 2018
  • Third Quarter 2018
  • Second Quarter 2018
  • First Quarter 2018
  • Fourth Quarter 2017
  • Third Quarter 2017
  • Second Quarter 2017
  • First Quarter 2017
  • Fourth Quarter 2016
  • Third Quarter 2016
  • Second Quarter 2016
  • First Quarter 2016
  • Fourth Quarter 2015
  • Third Quarter 2015
  • Second Quarter 2015
  • First Quarter 2015
  • Fourth Quarter 2014
  • Third Quarter 2014
  • Second Quarter 2014
• United Kingdom Northern Trust Global Services SE
• Northern Trust Global Investments Limited
• Northern Trust Securities LLP
• The Northern Trust Company of Saudi Arabia
• The Northern Trust Company Canada
  • First Quarter 2019
  • Fourth Quarter 2018
  • Third Quarter 2018
  • Second Quarter 2018
  • First Quarter 2018

Market Risk Rule Disclosure

• Fourth Quarter 2018
• Third Quarter 2018
• Second Quarter 2018
• First Quarter 2018
• Fourth Quarter 2017
• Third Quarter 2017
• Second Quarter 2017
• First Quarter 2017
• Fourth Quarter 2016
• Third Quarter 2016
• Second Quarter 2016
• First Quarter 2016
• Fourth Quarter 2015
• Third Quarter 2015
• Second Quarter 2015
• First Quarter 2015
• Fourth Quarter 2014
• Third Quarter 2014
• Second Quarter 2014
• First Quarter 2014
• Fourth Quarter 2013
• Third Quarter 2013
• Second Quarter 2013
• First Quarter 2013

Liquidity Coverage Ratio Disclosure

• Fourth Quarter 2018
• Third Quarter 2018 (As amended and reposted February 14, 2019)
• Second Quarter 2018 (As amended and reposted February 14, 2019)

Dodd-Frank Act Stress Test Disclosure

• 2018 Dodd-Frank Act Mid-Cycle Stress Test Disclosure
• 2018 Dodd-Frank Act Annual Stress Test Disclosure

Global Tax Strategy

• Global Tax Strategy December 2018