Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company; Notice for Prior Approval to Become a Bank Holding

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form FR Y-3 Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company; Notice for Prior Approval to Become a Bank Holding	Form	Modified	Available
Form FR Y-4 Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities	Form	Modified	Repair queued
Form FR Y-4 Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities	Form	Modified	Available
Form FR Y-4 Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities	Form	Modified	Repair queued
Form FR Y-3N Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company; Notice for Prior Approval to Become a Bank Holding	Form	Modified	Available
Form FR Y-3 Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company; Notice for Prior Approval to Become a Bank Holding	Form	Modified	Repair queued
FRy3y3ny4_201101_omb.docx	Supporting Statement A	Uploaded 2011-03-16	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
36129	Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company	Form	Modified	Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company; Notice for Prior Approval to Become a Bank Holding
36129	Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company	Instruction	Modified
183250	Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities	Form	Modified	Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities
183250	Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities	Instruction	Modified
183249	Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities	Form	Modified	Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities
183249	Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities	Instruction	Modified
183236	Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities	Form	Modified	Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities
183236	Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities	Instruction	Modified
183235	Notification for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company	Form	Modified	Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company; Notice for Prior Approval to Become a Bank Holding
183235	Notification for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company	Instruction	Modified
183234	Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company	Form	Modified	Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company; Notice for Prior Approval to Become a Bank Holding
183234	Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company	Instruction	Modified

ICR Details

OMB Control No: 7100-0121	ICR Reference No: 201101-7100-001
Status: Historical Active	Previous ICR Reference No: 201011-7100-003
Agency/Subagency: FRS	Agency Tracking No: FR Y-3, FR Y-3N, FR Y-4
Title: Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company; Notice for Prior Approval to Become a Bank Holding
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: 03/16/2011
Retrieve Notice of Action (NOA)	Date Received in OIRA: 03/16/2011
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2014	36 Months From Approved	04/30/2011
Responses	405	0	405
Time Burden (Hours)	15,905	0	14,913
Cost Burden (Dollars)	0	0	0

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Abstract: The Federal Reserve requires these applications and notifications for regulatory and supervisory purposes and to allow the Federal Reserve to fulfill its statutory obligations under the Bank Holding Company Act of 1956. These filings collect information concerning proposed bank holding company formation, acquisitions, and nonbanking activities. The Federal Reserve must obtain this information to evaluate each individual transaction with respect to financial and managerial factors, permissibility, competitive effects, net public benefits, and the impact on the convenience and needs of affected communities.

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Authorizing Statute(s): US Code: 12 USC 1842(a) and 1844(b) Name of Law: Bank Holding Company Act
   US Code: 12 USC 1843(j) 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:
	75 FR 81607	12/28/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 13188	03/10/2011
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 6

table that charts list of burden

IC Title	Form No.	Form Name
Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company	FR Y-3	Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company; Notice for Prior Approval to Become a Bank Holding
Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company	FR Y-3	Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company; Notice for Prior Approval to Become a Bank Holding
Notification for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company	FR Y-3N	Application for Prior Approval to Become a Bank Holding Company or for a Bank Holding Company to Acquire an Additional Bank or Bank Holding Company; Notice for Prior Approval to Become a Bank Holding
Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities	FR Y-4	Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities
Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities	FR Y-4	Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities
Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities	FR Y-4	Notification for Prior Approval to Engage Directly or Indirectly in Certain Nonbanking Activities

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ICR Summary of Burden

table that charts list 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	405	405	0	0	0	0
Annual Time Burden (Hours)	15,905	14,913	0	992	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 revise the FR Y-3 instructions by requesting additional information in Section 7. Any principal that would own 10 percent or more of the equity of the Applicant would be asked to provide an Interagency Biographical and Financial Report (FR 2081c; OMB No. 7100-0134) (IBFR). If the principal is a corporation or partnership, it would be asked to provide financial statements (balance sheets and income statements) for the two most recent fiscal years and the most recent quarter end. Applicants would be asked to discuss any negative trends in the financial statements.

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Annual Cost to Federal Government: $0

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: 03/16/2011

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