Financial Statements for Bank Holding Companies

Forms and Documents

Document Name	Status
Form FR Y-9CS Supplement to the Consolidated Financial Statements for Bank Holding Companies Form	Unchanged
Form FR Y-9ES Financial Statements for Employee Stock Ownership Plan Bank Holding Companies Form	Modified
Form FR Y-9SP Parent Company Only Financial Statements for Small Bank Holding Companies: BHCs Form	Modified
Form FR Y-9LP Parent Company Only Financial Statements for Large Bank Holding Companies Form	Modified
Form FR Y-9C Consolidated Financial Statements for Bank Holding Companies-non AA HCs Form	Modified
Form FR Y-9SP Parent Company Only Financial Statements for Small Holding Companies: One-time implementation Form	New
Form FR Y-9SP Parent Company Only Financial Statements for Small Bank Holding Companies: SLHCs Form	New
FRY9C_SP_20140326_omb.docx Supporting Statement A	2014-03-26
FRY9_20140204_83c.pdf Justification for No Material/Nonsubstantive Change	2014-02-04

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	Modified
45879	Parent Company Only Financial Statements for Small Bank Holding Companies: BHCs Form	Modified
45878	Parent Company Only Financial Statements for Large Bank Holding Companies Form	Modified
36158	Consolidated Financial Statements for Bank Holding Companies-non AA HCs Form	Modified
210940	Parent Company Only Financial Statements for Small Holding Companies: One-time implementation Form	New
210281	Parent Company Only Financial Statements for Small Bank Holding Companies: SLHCs Form	New
210280	Consolidated Financial Statements for Holding Companies-AA HCs Instruction	New

ICR Details

OMB Control No: 7100-0128	ICR Reference No: 201402-7100-004
Status: Historical Active	Previous ICR Reference No: 201402-7100-002
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: 03/26/2014
	Date Received in OIRA: 03/26/2014
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2014	03/31/2014	03/31/2014
Responses	19,627	0	19,330
Time Burden (Hours)	450,376	0	281,768
Cost Burden (Dollars)	0	0	0

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Abstract: The FR Y-9 family of reports historically has been, and continues to be, the primary source of financial information on BHCs between on-site inspections. Financial information from these reports is used to detect emerging financial problems, to review performance and conduct pre-inspection analysis, to monitor and evaluate capital adequacy, to evaluate BHC mergers and acquisitions, and to analyze a BHC's overall financial condition to ensure safe and sound operations.

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Authorizing Statute(s): US Code: 12 USC 1844(c)(1)(A) Name of Law: Bank Holding Company Act
   US Code: 5 USC 552(b)(4) Name of Law: Freedom of Information Act
   US Code: 12 USC 1467a(b)(b)(2)(A) Name of Law: Home Owners' Loan Act
   US Code: 12 USC 1850a(c)(1)(A) Name of Law: Home Owners' Loan 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:
	78 FR 48871	08/12/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 1862	01/10/2014
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 8

IC Title	Form No.	Form Name
Parent Company Only Financial Statements for Small Bank Holding Companies: BHCs	FR Y-9SP	Parent Company Only Financial Statements for Small Holding Companies
Financial Statements for Employee Stock Ownership Plan Bank Holding Companies	FR Y-9ES	Financial Statements for Employee Stock Ownership Plan Bank Holding Companies
Consolidated Financial Statements for Bank Holding Companies-non AA HCs	FR Y-9C	Consolidated Financial Statements for Holding Companies
Parent Company Only Financial Statements for Large Bank Holding Companies	FR Y-9LP	Parent Company Only Financial Statements for Large Holding Companies
Supplement to the Consolidated Financial Statements for Bank Holding Companies	FR Y-9CS	Supplement to the Consolidated Financial Statements for Bank Holding Companies
Consolidated Financial Statements for Holding Companies-AA HCs	FR Y-9C	Consolidated Financial Statements for Holding Companies
Parent Company Only Financial Statements for Small Holding Companies: One-time implementation	FR Y-9SP	Parent Company Only Financial Statements for Small Holding Companies
Parent Company Only Financial Statements for Small Bank Holding Companies: SLHCs	FR Y-9SP	Parent Company Only Financial Statements for Small 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	19,627	19,330	0	297	0	0
Annual Time Burden (Hours)	450,376	281,768	0	168,608	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The Federal Reserve revised the FR Y-9C and FR Y-9SP consistent with the regulatory capital rules approved by the Board of Governors on July 2, 2013 (revised regulatory capital rules). Specifically, the Federal Reserve split the current Schedule HC-R, Regulatory Capital, on the FR Y-9C into two parts: Part I, which collects information on regulatory capital components and ratios, and Part II, which collects information on risk-weighted assets.

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Annual Cost to Federal Government: $1,982,100

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

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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: 03/26/2014

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