Capital Assessment and Stress Testing

ICR 201601-7100-016

OMB: 7100-0341

Federal Form Document

IC Document Collections
IC ID
Document
Title
Status
219659 New
219646 New
219645 New
219630 New
219626 New
214779 Removed
214777 Modified
212193 Modified
204375
Modified
204373 Modified
204372 Modified
204371 Modified
202759 Modified
202758 Modified
202757 Modified
202744 Modified
200207 Modified
200205 Modified
200203 Modified
200202 Removed
200201 Modified
200200 Modified
200199 Modified
200198 Modified
200197 Modified
200196 Modified
200195 Modified
200193 Modified
ICR Details
7100-0341 201601-7100-016
Historical Active 201601-7100-012
FRS FR Y-14A/Q/M
Capital Assessment and Stress Testing
Revision of a currently approved collection   No
Delegated
Approved without change 01/29/2016
Retrieve Notice of Action (NOA) 01/29/2016
  Inventory as of this Action Requested Previously Approved
01/31/2019 36 Months From Approved 02/28/2018
2,653 0 2,648
829,861 0 774,937
0 0 0

The Capital Assessments and Stress Testing information collection consists of the FR Y-14A, Q, and M reports. The semi-annual FR Y-14A collects information on the stress tests conducted by BHCs, including quantitative projections of balance sheet, income, losses, and capital across a range of macroeconomic scenarios, and qualitative information on methodologies used to develop internal projections of capital across scenarios. The quarterly FR Y-14Q and the monthly FR Y-14M are used to support supervisory stress test models and for continuous monitoring efforts. The quarterly FR Y-14Q collects granular data on BHCs’ various asset classes, including loans, securities and trading assets, and pre-provision net revenue (PPNR) for the reporting period. The monthly FR Y-14M comprises three retail loan- and portfolio-level collections, and one detailed address matching collection to supplement two of the portfolio and loan-level collections.

US Code: 12 USC 1844 Name of Law: Bank Holding Company Act
   US Code: 12 USC 5365 Name of Law: Dodd-Frank Act
  
None

Not associated with rulemaking

  80 FR 55621 09/16/2015
81 FR 3412 01/21/2016
Yes

26
IC Title Form No. Form Name
Regulatory Capital Instruments - Annual FR Y-14A Regulatory Capital Instruments Form
Retail Repurchase - Semiannual FR Y-14A Retail Repurchase (within Summary Form)
Implementation
Attestation - Implementation Y-14A, Y-14A, Y-14AQM Y-14A Attestation for 12312016 ,   Y-14A Attestation for 12312017 ,   Y-14AQM semiannual attestation
Business Plan Changes - Annual FR Y-14A Business Plan Changes (no actual form)
1st Lien Mortgage - Monthly FR Y14M FRY 14M Form and Instructions
Home Equity - Monthly FR Y14M FRY14M Form and Instructions
MSR Valuation - Quarterly FR Y14Q Quarterly MSR Form
Supplemental - Quarterly FR Y14Q Quarterly Supplemental Form
Retail FVO/HFS - Quarterly FR Y14Q Quarterly FVO/HFS Form
Credit Card - Monthly FR Y14M FR Y14M Instructions and Forms
On-going Revisions
Operational Risk - Annual FR Y14A Operational Risk Form
Balances - Quarterly FR Y-14Q Balances
Regulatory Capital Instruments Schedule - Quarterly FR Y14Q Quarterly Regulatory Capital Instruments Form
Pre-Provision Net Revenue (PPNR) - Quarterly FR Y14Q Quarterly PPNR Form
Trading Schedule - Quarterly FR Y14Q Quarterly Trading Form
Summary - Semi-Annual FRY14A Semi-Annual Summary Form
Macro Scenario - Semi-annual FRY14A Semi-Annual Scenario Form
Regulatory Capital Transitions - Annual FR Y14A Annual Regulatory Capital Transitions Form
Counterparty - Quarterly FRY14Q Quarterly Counterparty (CCR) Form
Regulatory Capital Transitions Schedule - Quarterly FR Y14Q Quarterly Regulatory Capital Transitions Schedule
Securities Risk - Quarterly FR Y14Q Quarterly Securities Form
Retail Risk - Quarterly FR Y14Q Quarterly Retail Risk Form and General Instructions
Wholesale - Quarterly FR Y14Q Quarterly Wholesale Corporate Loans Schedule
Operational Risk - Quarterly FR Y14Q Quarterly Operational Risk Form /Instructions
Wholesale Risk (CRE) Schedule - Quarterly FR Y14Q Quarterly Wholesale Risk CRE Form/Instructions
Attestation - Ongoing revisions Y-14A, Y-14AQM, Y-14A Y-14A Attestation for 123116 ,   Y-14A Attestation for 123117 ,   Y-14AQM Semiannual Attestation

  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 2,653 2,648 0 5 0 0
Annual Time Burden (Hours) 829,861 774,937 0 54,924 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Miscellaneous Actions
Yes
Miscellaneous Actions
The Federal Reserve proposed several revisions to the FR Y-14A/Q/M reports including: (1) adding an attestation requirement for respondents subject to the Large Institution Supervision Coordinating Committee (LISCC) framework, (2) revising the reports to reflect recent changes to the regulatory capital rules and the capital plan rule, and (3) modifying other elements of the FR Y-14A/Q/M reports to improve consistency of reported data across firms, address industry concerns, and improve supervisory modeling.

$5,580,000
No
No
No
Yes
No
Uncollected
Richard Palmer 202 502-8438 [email protected]

  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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
01/29/2016


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