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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:
202307-7100-002
Status:
Active
Previous ICR Reference No:
202210-7100-002
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:
07/24/2023
Retrieve Notice of Action (NOA)
Date Received in OIRA:
07/24/2023
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
07/31/2026
36 Months From Approved
07/31/2023
Responses
87
0
87
Time Burden (Hours)
1,698
0
1,698
Cost Burden (Dollars)
0
0
0
Abstract:
These reporting and recordkeeping requirements, which are related to amendments made by the Gramm-Leach-Bliley Act (GLB Act) to the Bank Holding Company Act of 1956 (BHC Act) and the Federal Reserve Act (FRA), are composed of the following: • Declarations to Become a Financial Holding Company (FR 4010), • Requests for Determinations and Interpretations Regarding Activities Financial in Nature (FR 4011), • Notices of Failure to Meet Capital or Management Requirements (FR 4012), • Notices by State Member Banks to Invest in Financial Subsidiaries (FR 4017), • Regulatory Relief Requests Associated with Merchant Banking Activities (FR 4019), and • Recordkeeping Requirements Associated with Merchant Banking Activities (FR 4023).
Authorizing Statute(s):
US Code:
12 USC 1843(l)
Name of Law: Bank Holding Company Act of 1956
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 of 1978
US Code:
12 USC 1843(j)-(k)
Name of Law: Bank Holding Company Act of 1956
US Code:
12 USC 1844(b)
Name of Law: Bank Holding Company Act of 1956
US Code:
12 USC 1467a(g)
Name of Law: Home Owner’s Loan Act
US Code:
12 USC 3106
Name of Law: International Banking Act of 1978
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 of 1956
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:
88 FR 5340
01/27/2023
30-day Notice:
Federal Register Citation:
Citation Date:
88 FR 37251
06/07/2023
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
FR 4010 Reporting BHCs and SLHCs
FR 4010 Reporting Foreign Banks
FR 4011 Reporting
FR 4012 Reporting Extension of time request
FR 4012 Reporting Noncompliance notice
FR 4017 Reporting
FR 4019 Reporting Portfolio company notification
FR 4019 Reporting Regulatory relief requests
FR 4023 Recordkeeping
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
87
87
0
0
0
0
Annual Time Burden (Hours)
1,698
1,698
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:
$0
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?
No
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:
07/24/2023
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