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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:
7100-0313
ICR Reference No:
201708-7100-026
Status:
Historical Active
Previous ICR Reference No:
201708-7100-025
Agency/Subagency:
FRS
Agency Tracking No:
FR 4200
Title:
Recordkeeping and Disclosure Requirements Associated with Regulation Q
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:
08/28/2017
Retrieve Notice of Action (NOA)
Date Received in OIRA:
08/28/2017
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
06/30/2019
06/30/2019
06/30/2019
Responses
3,046
0
3,025
Time Burden (Hours)
66,622
0
66,611
Cost Burden (Dollars)
0
0
0
Abstract:
In September and October of 2013, the Office of the Comptroller of the Currency (OCC), the Board, and the Federal Deposit Insurance Corporation (FDIC) (collectively, the agencies) published final rules that revised their risk-based and leverage capital requirements for banking organizations. For the Board, Regulation Q - Capital Adequacy of Bank Holding Companies, Savings and Loan Holding Companies, and State Member Banks was revised and created recordkeeping and disclosure requirements.
Authorizing Statute(s):
US Code:
12 USC 1831o(c)
Name of Law: Federal Deposit Insurance Act
US Code:
12 USC 3907(a)(1)
Name of Law: International Lending Supervision Act of 1983
US Code:
12 USC 324
Name of Law: Federal Reserve Act
US Code:
12 USC 1844(c)
Name of Law: Bank Holding Company Act
Citations for New Statutory Requirements:
PL: Pub.L. 111 - 203 124 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
7100-AE26
Final or interim final rulemaking
80 FR 49082
08/14/2015
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
79 FR 75473
12/18/2014
30-day Notice:
Federal Register Citation:
Citation Date:
80 FR 49082
08/14/2015
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
Advanced Approach - Disclosure Section 217.173 Table 13
Advanced Approach - Disclosure Section 217.173 Tables 4, 5, 9, and 12 (One-Time)
Advanced Approach - Disclosure Sections 217.142, 217.172, and 217.173 Tables 4, 5, 9, and 12
Advanced Approach - Recordkeeping Sections 217.121(b), 217.122, 217.123, 217.124, 217.132(b)(2)(iii)(A), 217.132(b)(3), 217.132(d)(1), 217.132(d)(1)(iii), 217.132(d)(2)(iv), 217.132(d)(3)(viii), 217.1
Advanced Approach - Recordkeeping Sections 217.132(b)(2)(iii)(A), 217.132(d)(2)(iv), 217.132(d)(3)(vi), 217.132(d)(3)(viii), 217.132(d)(3)(ix), 217.132(d)(3)(x), 217.132(d)(3)(xi), 217.141( (One-Time)
Minimum Capital Ratios - Recordkeeping Sections 217.3(d) and 217.22(h)(2)(iii)(A)
Risk-based Capital Surcharge for GSIBs - Recordkeeping Sections 217.402 and 217.403
Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63
Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63 (One-Time)
Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), 217.41(b)(3), and 217.41(c)(2)(i) (One-Time)
Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), and 217.41(c)(2)(ii)
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
3,046
3,025
21
0
0
0
Annual Time Burden (Hours)
66,622
66,611
11
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:
The current annual burden for the FR 4200 is estimated to be 66,611 hours. The proposed recordkeeping requirements would increase the estimated annual burden hours by 11 hours.
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.
No
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]?
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:
Kaitlin Merritt 202 452-3752 kaitlin.m.merritt@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:
08/28/2017
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