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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:
7100-0128
ICR Reference No:
201404-7100-001
Status:
Historical Active
Previous ICR Reference No:
201402-7100-004
Agency/Subagency:
FRS
Agency Tracking No:
FR Y-9C
Title:
Financial Statements for Holding Companies
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:
05/13/2014
Retrieve Notice of Action (NOA)
Date Received in OIRA:
05/13/2014
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
03/31/2017
03/31/2017
09/30/2014
Responses
19,627
0
19,627
Time Burden (Hours)
450,376
0
450,376
Cost Burden (Dollars)
0
0
0
Abstract:
The FR Y 9 family of reporting forms continues to be the primary source of financial data on HCs that examiners rely on in the intervals between on-site inspections and off-site assessments through the Small Bank Holding Company Supervision Program. Financial data from these reporting forms are used to detect emerging financial problems, to review performance and conduct pre-inspection analysis, to monitor and evaluate capital adequacy, to evaluate HC mergers and acquisitions, and to analyze an HC's overall financial condition to ensure the safety and soundness of its operations.
Authorizing Statute(s):
US Code:
12 USC 1844(c)(1)(A)
Name of Law: Bank Holding Company Act
US Code:
5 USC 552(b)(4),(b)(6),(b)(8)
Name of Law: Freedom of Information Act
US Code:
12 USC 1467a(b)(2)(A)
Name of Law: Home Owners' Loan Act
US Code:
12 USC 1850a(c)(1)(A)
Name of Law: Home Owners' Loan Act
Citations for New Statutory Requirements:
None
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:
79 FR 4468
01/28/2014
30-day Notice:
Federal Register Citation:
Citation Date:
79 FR 21243
04/15/2014
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
8
IC Title
Form No.
Form Name
Consolidated Financial Statements for Bank Holding Companies-non AA HCs
FR Y-9C
Consolidated Financial Statements for Holding Companies
Consolidated Financial Statements for Holding Companies-AA HCs
FR Y-9C
Consolidated Financial Statements for Holding Companies
Financial Statements for Employee Stock Ownership Plan Bank Holding Companies
FR Y-9ES
Financial Statements for Employee Stock Ownership Plan Bank Holding Companies
Parent Company Only Financial Statements for Large Bank Holding Companies
FR Y-9LP
Parent Company Only Financial Statements for Large Holding Companies
Parent Company Only Financial Statements for Small Bank Holding Companies: SLHCs
FR Y-9SP
Parent Company Only Financial Statements for Small Holding Companies
Parent Company Only Financial Statements for Small Bank Holding Companies: BHCs
FR Y-9SP
Parent Company Only Financial Statements for Small Holding Companies
Parent Company Only Financial Statements for Small Holding Companies: One-time implementation
FR Y-9SP
Parent Company Only Financial Statements for Small Holding Companies
Supplement to the Consolidated Financial Statements for Bank Holding Companies
FR Y-9CS
Supplement to the Consolidated Financial Statements for Bank Holding Companies
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
19,627
19,627
0
0
0
0
Annual Time Burden (Hours)
450,376
450,376
0
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:
Annual Cost to Federal Government:
$1,982,100
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]?
No
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:
05/13/2014
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