Financial Statements for Bank Holding Companies

Forms and Documents

Document Name	Status
Form FR-Y9CS Supplement to the Consolidated Financial Statements for Bank Holding Companies Form	Unchanged
Form FR-Y9ES Financial Statements for Employee Stock Ownership Plan Bank Holding Companies Form	Unchanged
Form FR-Y9SP Parent Company Only Financial Statements for Small Bank Holding Companies Form	Unchanged
Form FR-Y9LP Parent Company Only Financial Statements for Large Bank Holding Companies Form	Unchanged
Form FR Y-9C Consolidated Financial Statements for Bank Holding Companies Form	Modified
FRY9.200703.omb.doc Supporting Statement A	0000-00-00

IC Document Collections

IC ID	Document Title	Status
45881	Supplement to the Consolidated Financial Statements for Bank Holding Companies Form	Unchanged
45880	Financial Statements for Employee Stock Ownership Plan Bank Holding Companies Form	Unchanged
45879	Parent Company Only Financial Statements for Small Bank Holding Companies Form	Unchanged
45878	Parent Company Only Financial Statements for Large Bank Holding Companies Form	Unchanged
36158	Consolidated Financial Statements for Bank Holding Companies Form	Modified

ICR Details

OMB Control No: 7100-0128	ICR Reference No: 200702-7100-008
Status: Historical Active	Previous ICR Reference No: 200610-7100-009
Agency/Subagency: FRS	Agency Tracking No: FR Y-9
Title: Financial Statements for Bank 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: 03/28/2007
	Date Received in OIRA: 03/28/2007
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2008	03/31/2008	03/31/2008
Responses	17,165	0	17,165
Time Burden (Hours)	183,966	0	182,741
Cost Burden (Dollars)	0	0	0

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Abstract: The FR Y-9 data are the primary source of information for the Federal Reserve System's bank holding company surveillance function. Data from the FR Y-9 support the ongoing monitoring of the financial condition of these institutions.

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Authorizing Statute(s): US Code: 12 USC 1844(c) Name of Law: Bank Holding Company Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 1325	01/11/2007
30-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 14104	03/26/2007
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 5

IC Title	Form No.	Form Name
Consolidated Financial Statements for Bank Holding Companies	FR Y-9C	Consolidated Financial Statements for Bank Holding Companies
Parent Company Only Financial Statements for Large Bank Holding Companies	FR-Y9LP	Parent Company Only Financial Statements for Large Bank Holding Companies
Parent Company Only Financial Statements for Small Bank Holding Companies	FR-Y9SP	Parent Company Only Financial Statements for Small Bank Holding Companies
Financial Statements for Employee Stock Ownership Plan Bank Holding Companies	FR-Y9ES	Financial Satements for Employee Stock Ownership Plan Bank Holding Companies
Supplement to the Consolidated Financial Statements for Bank Holding Companies	FR-Y9CS	Supplement to the Consolidated Financial Statements for Bank Holding Companies

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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	17,165	17,165	0	0	0	0
Annual Time Burden (Hours)	183,966	182,741	0	1,225	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 Federal Reserve proposes to modify information collected on the FR Y-9C to: (1) collect certain data on the sources of fair value measurements from all institutions that choose, under generally accepted accounting principles, to apply a fair value option to one or more financial instruments and one or more classes of servicing assets and liabilities and from certain institutions that report trading assets and liabilities; (2) collect an item to capture the change in the fair value of liabilities accounted for under the fair value option that is attributable to a BHC’s own creditworthiness for purposes of measuring regulatory capital; (3) collect certain data on 1-4 family residential mortgage loans with terms that allow for negative amortization; and (4) revise instructions for the reporting of time deposits and brokered deposits. The Federal Reserve also proposes to clarify the FR Y-9C instructions for the reporting of assets serviced for others. The proposed changes would be effective as of March 31, 2007.

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Annual Cost to Federal Government: $1,844,367

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]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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: 03/28/2007

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