Filings Related to the Gramm-Leach-Bliley Act (GLB Act)

Forms and Documents

Document Name	Status
FR4010_4011_4012_4017_4019_4023_20130611_omb_LL_MM.docx Supporting Statement A	2013-06-19
Regs_GOWBBLLMM_R1429_20110913_ifrm.pdf Supplementary Document	2013-06-11

IC Document Collections

IC ID	Document Title	Status
36340	Declaration to Become a Financial Holding Company (BHC) (FR 4010)	Unchanged
205954	Portfolio Company Notifications Associated with Merchant Bank Acitivites (FR 4019)	Unchanged
180324	Recordkeeping Requirements Associated with Merchant Banking Activities (FR 4023)	Unchanged
180323	Regulatory Relief Requests Associated with Merchant Banking Activities (FR 4019)	Unchanged
180322	Notices by State Member Banks to Invest in Financial Subsidiaries (FR 4017)	Unchanged
180321	Notices of Failure to Meet Capital or Management Requirements (FHCs back into compliance) (FR 4012)	Unchanged
180320	Notices of Failure to Meet Capital or Management Requirements (decertified as FHCs) (FR 4012)	Unchanged
180319	Requests for Determinations and Interpretations Regarding Activities Financial in Nature (FR 4011)	Unchanged
180318	Declaration to Become a Financial Holding Company (Foreign Banks) (FR 4010)	Unchanged

ICR Details

OMB Control No: 7100-0292	ICR Reference No: 201305-7100-013
Status: Historical Active	Previous ICR Reference No: 201302-7100-001
Agency/Subagency: FRS	Agency Tracking No: FR 4010 (Reg LL R-1429)
Title: Filings Related to the Gramm-Leach-Bliley Act (GLB Act)
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: 06/19/2013
	Date Received in OIRA: 06/19/2013
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2014	09/30/2014	06/30/2013
Responses	104	0	104
Time Burden (Hours)	1,852	0	1,852
Cost Burden (Dollars)	0	0	0

---

Abstract: These collections of information are made pursuant to amendments made by the Gramm-Leach-Bliley Act (GLB Act) to the Bank Holding Company Act, the Federal Reserve Act, or Federal Reserve Board (Board) regulations issued to carry out the GLB Act. There are no formal reporting forms for these collections of information, which are event generated; however, in each case, the type of information required to be filed is described in the Board's regulations.

---

Authorizing Statute(s): US Code: 12 USC 3106(a) Name of Law: International Banking Act
   US Code: 12 USC 1843(1)(1), (j)-(k), (m) Name of Law: Bank Holding Company Act
   US Code: 12 USC 335 Name of Law: Federal Reserve Act
   US Code: 12 USC 1467a(c)(2)(H) Name of Law: Home Owner's Loan Act
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
7100-AD80	Final or interim final rulemaking	76 FR 56508	09/13/2011

---

Federal Register Notices & Comments

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
Notices of Failure to Meet Capital or Management Requirements (decertified as FHCs) (FR 4012)
Requests for Determinations and Interpretations Regarding Activities Financial in Nature (FR 4011)
Regulatory Relief Requests Associated with Merchant Banking Activities (FR 4019)
Notices by State Member Banks to Invest in Financial Subsidiaries (FR 4017)
Portfolio Company Notifications Associated with Merchant Bank Acitivites (FR 4019)
Declaration to Become a Financial Holding Company (Foreign Banks) (FR 4010)
Recordkeeping Requirements Associated with Merchant Banking Activities (FR 4023)
Declaration to Become a Financial Holding Company (BHC) (FR 4010)
Notices of Failure to Meet Capital or Management Requirements (FHCs back into compliance) (FR 4012)

---

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	104	104	0	0	0	0
Annual Time Burden (Hours)	1,852	1,852	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

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]? 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

---

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: 06/19/2013

---