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Financial Intermediary
Learn about asset management solutions designed for Retirement Plan Advisors, TAMPs/Outsourcing Providers, Subadvisory Program Sponsors, RIAs/Financial Advisors and Trust Institutions.
Institutional
Learn about asset management solutions including: global index management, active equity and fixed income, target retirement date funds, and manager of manager programs.
Individual
Get answers to your investment challenges with asset management capabilities including alternatives, exchange traded funds, fixed income, mutual funds and tax-advantaged equity.
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SEC and Other Regulatory Filings

 
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SEC Filings

Recent Northern Trust filings with the Securities and Exchange Commission

Call and Y9C Reports

Northern Trust Corporation

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 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.

Market Risk Rule Disclosure

Dodd-Frank Act Stress Test Disclosure

Northern Trust Luxembourg Management Company

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