Skip to main content
An official website of the United States government
The .gov means it's official.
Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you're on a federal government site.
The site is secure.
The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.
Search:
Agenda
Reg Review
ICR
This script is used to control the display of information in this page.
Display additional information by clicking on the following:
All
Brief and OIRA conclusion
Abstract/Justification
Legal Statutes
Rulemaking
FR Notices/Comments
IC List
Burden
Misc.
Common Form Info.
Certification
View Information Collection (IC) List
View Supporting Statement and Other Documents
Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
7100-0292
ICR Reference No:
201308-7100-002
Status:
Historical Active
Previous ICR Reference No:
201305-7100-013
Agency/Subagency:
FRS
Agency Tracking No:
FR 4010, 4011, 4012, 4017, 4019, and 4023
Title:
Filings Related to the Gramm-Leach-Bliley Act (GLB Act)
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Delegated
OIRA Conclusion Action:
Approved without change
Conclusion Date:
01/28/2014
Retrieve Notice of Action (NOA)
Date Received in OIRA:
01/28/2014
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
01/31/2017
36 Months From Approved
09/30/2014
Responses
109
0
104
Time Burden (Hours)
1,884
0
1,852
Cost Burden (Dollars)
0
0
0
Abstract:
These collections of information are made pursuant to amendments made by the Gramm-Leach-Bliley Act (GLB Act) to the Bank Holding Company Act, the Federal Reserve Act, or Federal Reserve Board (Board) regulations issued to carry out the GLB Act. There are no formal reporting forms for these collections of information, which are event generated; however, in each case, the type of information required to be filed is described in the Board's regulations.
Authorizing Statute(s):
US Code:
12 USC 3106(a)
Name of Law: International Banking Act
US Code:
12 USC 1843(1)(1), (j)-(k), (m)
Name of Law: Bank Holding Company Act
US Code:
12 USC 335
Name of Law: Federal Reserve Act
US Code:
12 USC 1467a(c)(2)(H)
Name of Law: Home Owner's Loan Act
Citations for New Statutory Requirements:
US Code: 12 USC 5412 Name of Law: Wall Street Reform and Consumer ProtectionTECTION
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
78 FR 32387
05/30/2013
30-day Notice:
Federal Register Citation:
Citation Date:
78 FR 50055
08/16/2013
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
11
IC Title
Form No.
Form Name
Declaration to Become a Financial Holding Company (FR 4010)
Declaration to Become a Financial Holding Company (Foreign Banks) (FR 4010)
Notices by State Member Banks to Invest in Financial Subsidiaries (FR 4017)
Notices of Failure to Meet Capital or Management Requirements (BHCs decertified as FHCs) (FR 4012)
Notices of Failure to Meet Capital or Management Requirements (FHCs back into compliance-BHC) (FR 4012)
Notices of Failure to Meet Capital or Management Requirements (FHCs back into compliance-SLHCs) (FR 4102)
Notices of Failure to Meet Capital or Management Requirements (SLHCs decertified as FHCs) (FR 4012)
Portfolio Company Notifications Associated with Merchant Bank Acitivites (FR 4019)
Recordkeeping Requirements Associated with Merchant Banking Activities (FR 4023)
Regulatory Relief Requests Associated with Merchant Banking Activities (FR 4019)
Requests for Determinations and Interpretations Regarding Activities Financial in Nature (FR 4011)
ICR Summary of Burden
Total Approved
Previously Approved
Change Due to New Statute
Change Due to Agency Discretion
Change Due to Adjustment in Estimate
Change Due to Potential Violation of the PRA
Annual Number of Responses
109
104
5
0
0
0
Annual Time Burden (Hours)
1,884
1,852
32
0
0
0
Annual Cost Burden (Dollars)
0
0
0
0
0
0
Burden increases because of Program Change due to Agency Discretion:
No
Burden Increase Due to:
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
To conform to the new interim Regulation LL, the Federal Reserve revised the FR 4012 to expand its application to include Savings and Loan Holding Companies. The new FR 4012, in all other respects, preserves the current requirements of the FR 4012.
Annual Cost to Federal Government:
$0
Does this IC contain surveys, censuses, or employ statistical methods?
No
Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002?
No
Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]?
No
Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]?
Yes
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
Scott Farmer 202-452-2253 Scott.W.Farmer@frb.gov
Common Form ICR:
No
On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
(a) It is necessary for the proper performance of agency functions;
(b) It avoids unnecessary duplication;
(c) It reduces burden on small entities;
(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;
(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;
(f) It indicates the retention periods for recordkeeping requirements;
(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control number;
(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.
(i) It uses effective and efficient statistical survey methodology (if applicable); and
(j) It makes appropriate use of information technology.
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
Certification Date:
01/28/2014
An official website of the United States government
The .gov means it's official.
The site is secure.
