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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:
7100-0292
ICR Reference No:
201701-7100-007
Status:
Historical Active
Previous ICR Reference No:
201701-7100-005
Agency/Subagency:
FRS
Agency Tracking No:
FR 4010; FR 4011; FR 4012; FR4017; FR 4019; FR4023
Title:
Filings Related to the Gramm-Leach-Bliley Act
Type of Information Collection:
Extension without change of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Delegated
OIRA Conclusion Action:
Approved without change
Conclusion Date:
01/30/2017
Retrieve Notice of Action (NOA)
Date Received in OIRA:
01/30/2017
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
01/31/2020
36 Months From Approved
01/31/2017
Responses
90
0
95
Time Burden (Hours)
1,799
0
1,831
Cost Burden (Dollars)
0
0
0
Abstract:
This family of reporting and recordkeeping requirements related to amendments made by the Gramm-Leach-Bliley Act (GLB Act), to the Bank Holding Company Act (BHC Act), the Federal Reserve Act (FRA), and related regulations is currently composed of the following: The Declarations to Become a Financial Holding Company (FHC) (FR 4010); The Requests for Determinations and Interpretations Regarding Activities Financial in Nature (FR 4011); The Notices of Failure to Meet Capital or Management Requirements (FR 4012);2 The Notices by State Member Banks to Invest in Financial Subsidiaries (FR 4017); The Regulatory Relief Requests Associated with Merchant Banking Activities (FR 4019); and The Recordkeeping Requirements Associated with Merchant Banking Activities (FR 4023). These collections of information are event-generated and as such, there are no formal reporting forms associated with them. 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 1843(l)(1)(C)
Name of Law: Bank Holding Company Act
US Code:
12 USC 1467a(c)(2)(H)
Name of Law: Home Owner's Loan Act
US Code:
12 USC 3106(a)
Name of Law: International Banking Act
US Code:
12 USC 1843(j)-(k)
Name of Law: Bank Holding Company Act
US Code:
12 USC 1843(l)(1) and (m)
Name of Law: Bank Holding Company Act
US Code:
12 USC 335
Name of Law: Federal Reserve Act
US Code:
12 USC 1843(k)(7)
Name of Law: Bank Holding Company 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:
81 FR 71730
10/18/2016
30-day Notice:
Federal Register Citation:
Citation Date:
82 FR 4880
01/17/2017
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
9
IC Title
Form No.
Form Name
Declarations to Become a Financial Holding Company - BHCs and SLHCs
Declarations to Become a Financial Holding Company - Foreign Banks
FR 4012 - FHCs back in compliance - SLHC
FR 4012 - SLHCs decertified as an FHC
Notices by State Member Banks to Invest in Financial Subsidiaries
Notices of Failure to Meet Capital or Management Requirements - BHCs and SLHCs decertified as an FHC
Notices of Failure to Meet Capital or Management Requirements - FHCs back into compliance - BHCs and SLHCs
Recordkeeping Requirements Associated with Merchant Banking Activities
Regulatory Relief Requests Associated with Merchant Banking Activities - Portfolio company notification
Regulatory Relief Requests Associated with Merchant Banking Activities - Regulatory relief requests
Requests for Determinations and Interpretations Regarding Activities Financial in Nature
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
90
95
0
0
-5
0
Annual Time Burden (Hours)
1,799
1,831
0
0
-32
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:
$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]?
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:
Richard Palmer 202 502-8438 Richard.Palmer@ferc.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:
01/30/2017
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