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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:
202106-7100-004
Status:
Historical Active
Previous ICR Reference No:
202102-7100-010
Agency/Subagency:
FRS
Agency Tracking No:
FR Y-9
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:
08/20/2021
Retrieve Notice of Action (NOA)
Date Received in OIRA:
08/20/2021
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
08/31/2024
36 Months From Approved
09/30/2021
Responses
23,136
0
23,136
Time Burden (Hours)
115,671
0
115,482
Cost Burden (Dollars)
0
0
0
Abstract:
This information collection comprises the following five reports: Consolidated Financial Statements for Holding Companies (FR Y-9C), Parent Company Only Financial Statements for Large Holding Companies (FR Y-9LP), Parent Company Only Financial Statements for Small Holding Companies (FR Y-9SP), Financial Statements for Employee Stock Ownership Plan Holding Companies (FR Y-9ES), and Supplement to the Consolidated Financial Statements for Holding Companies (FR Y-9CS). The Board requires bank holding companies (BHCs), most savings and loan holding companies (SLHCs), any securities holding companies, and U.S. intermediate holding companies (IHCs) (collectively HCs) to provide standardized financial statements through one or more of the FR Y-9 reports. The information collected on the FR Y-9 reports is necessary for the Board to identify emerging financial risks and monitor the safety and soundness of HC operations.
Authorizing Statute(s):
US Code:
12 USC 1844
Name of Law: Bank Holding Company Act of 1956
US Code:
12 USC 1467a(b)(2)
Name of Law: Home Owners’ Loan Act
US Code:
12 USC 1467a(b)(3)
Name of Law: Home Owners’ Loan Act
US Code:
12 USC 5311(a)(1)
Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
US Code:
12 USC 5365
Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
US Code:
12 USC 1850a(c)(1)(A)
Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection 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:
85 FR 63553
10/08/2020
30-day Notice:
Federal Register Citation:
Citation Date:
86 FR 92
01/04/2021
Did the Agency receive public comments on this ICR?
Yes
Number of Information Collection (IC) in this ICR:
12
IC Title
Form No.
Form Name
Recordkeeping FR Y-9C
FR Y-9C
Consolidated Financial Statements for Holding Companies
Recordkeeping FR Y-9CS
FR Y-9CS
Supplement to the Consolidated Financial Statements for Holding Companies
Recordkeeping FR Y-9ES
FR Y-9ES
Financial Statements for Employee Stock Ownership Plan Holding Companies
Recordkeeping FR Y-9LP
FR Y-9LP
Parent Company Only Financial Statements for Large Holding Companies
Recordkeeping FR Y-9SP
FR Y-9SP
Parent Company Only Financial Statements for Small Holding Companies
Reporting FR Y-9C (AA HCs)
FR Y-9C
Consolidated Financial Statements for Holding Companies
Reporting FR Y-9C (non AA HCs) with $5 billion or more in total assets
FR Y-9C
Consolidated Financial Statements for Holding Companies
Reporting FR Y-9C (non AA HCs) with less than $5 billion in total assets
FR Y-9C
Consolidated Financial Statements for Holding Companies
Reporting FR Y-9CS
FR Y-9CS
Supplement to the Consolidated Financial Statements for Holding Companies
Reporting FR Y-9ES
FR Y-9ES
Financial Statements for Employee Stock Ownership Plan Holding Companies
Reporting FR Y-9LP
FR Y-9LP
Parent Company Only Financial Statements for Large Holding Companies
Reporting FR Y-9SP
FR Y-9SP
Parent Company Only Financial Statements for Small 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
23,136
23,136
0
0
0
0
Annual Time Burden (Hours)
115,671
115,482
0
189
0
0
Annual Cost Burden (Dollars)
0
0
0
0
0
0
Burden increases because of Program Change due to Agency Discretion:
Yes
Burden Increase Due to:
Miscellaneous Actions
Burden decreases because of Program Change due to Agency Discretion:
No
Burden Reduction Due to:
Short Statement:
The estimated total annual burden for the FR Y-9 reports is 115,482 hours, and would increase to 115,671 hours with the revisions. The GAAP and Regulation D revisions would result in an increase of 189 hours. The revisions associated with the new items for PPPLF and Section 2013 of the CARES Act would not affect burden as these adjustments to burden were made in July 2020 with the emergency clearance and are reflected in the current burden.
Annual Cost to Federal Government:
$2,050,800
Does this IC contain surveys, censuses, or employ statistical methods?
No
Does this ICR request any personally identifiable information (see
OMB Circular No. A-130
for an explanation of this term)? Please consult with your agency's privacy program when making this determination.
Yes
Does this ICR include a form that requires a Privacy Act Statement (see
5 U.S.C. §552a(e)(3)
)? Please consult with your agency's privacy program when making this determination.
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?
Yes
Agency Contact:
Robert Dahl 202 622-3119 Robert.Dahl@do.treas.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:
08/20/2021
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