Financial Statements for Holding Companies

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form FR Y-9ES Financial Statements for Employee Stock Ownership Plan Holding Companies	Form	Unchanged	Available
Form FR Y-9SP Parent Company Only Financial Statements for Small Holding Companies	Form	Unchanged	Available
Form FR Y-9LP Parent Company Only Financial Statements for Large Holding Companies	Form	Unchanged	Available
Form FR Y-9C Consolidated Financial Statements for Holding Companies	Form	Modified	Available
Form FR Y-9C Consolidated Financial Statements for Holding Companies	Form	Modified	Available
Form FR Y-9CS Supplement to the Consolidated Financial Statements for Holding Companies	Form	Unchanged	Available
FRY9_20160914_omb.pdf	Supporting Statement A	Uploaded 2016-09-14	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
45881	Financial Statements for Employee Stock Ownership Plan Holding Companies	Form	Unchanged	Financial Statements for Employee Stock Ownership Plan Holding Companies
45881	Financial Statements for Employee Stock Ownership Plan Holding Companies	Instruction	Unchanged
45880	Parent Company Only Financial Statements for Small Holding Companies	Form	Unchanged	Parent Company Only Financial Statements for Small Holding Companies
45880	Parent Company Only Financial Statements for Small Holding Companies	Instruction	Unchanged
45879	Parent Company Only Financial Statements for Large Holding Companies	Form	Unchanged	Parent Company Only Financial Statements for Large Holding Companies
45879	Parent Company Only Financial Statements for Large Holding Companies	Instruction	Unchanged
45878	Consolidated Financial Statements for Holding Companies (AA HCs)	Form	Modified	Consolidated Financial Statements for Holding Companies
45878	Consolidated Financial Statements for Holding Companies (AA HCs)	Instruction	Modified
36158	Consolidated Financial Statements for Holding Companies (non AA HCs)	Form	Modified	Consolidated Financial Statements for Holding Companies
36158	Consolidated Financial Statements for Holding Companies (non AA HCs)	Instruction	Modified
210280	Supplement to the Consolidated Financial Statements for Holding Companies	Form	Unchanged	Supplement to the Consolidated Financial Statements for Holding Companies
210280	Supplement to the Consolidated Financial Statements for Holding Companies	Instruction	Unchanged

ICR Details

OMB Control No: 7100-0128	ICR Reference No: 201609-7100-006
Status: Historical Active	Previous ICR Reference No: 201609-7100-004
Agency/Subagency: FRS	Agency Tracking No: FR Y-9
Title: Financial Statements for 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: 09/14/2016
Retrieve Notice of Action (NOA)	Date Received in OIRA: 09/14/2016
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2019	36 Months From Approved	07/31/2018
Responses	15,112	0	15,112
Time Burden (Hours)	195,585	0	197,372
Cost Burden (Dollars)	0	0	0

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Abstract: Pursuant to the Bank Holding Company Act of 1956, as amended, and the Home Owners' Loan Act (HOLA), the Federal Reserve requires bank holding companies (BHCs), savings and loan holding companies (SLHCs), and securities holding companies (collectively holding companies (HCs)) to provide standardized financial statements to fulfill the Federal Reserve's statutory obligation to supervise these organizations. HCs file the FR Y-9C and FR Y-9LP quarterly, the FR Y-9SP semiannually, the FR Y-9ES annually, and the FR Y-9CS on a schedule that is determined when this supplement is used.

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Authorizing Statute(s): US Code: 12 USC 1844(c) Name of Law: Bank Holding Company Act
   US Code: 12 USC 1467a(b) Name of Law: Home Owners' Loan Act
   US Code: 12 USC 1850a(c)(1) Name of Law: Dodd-Frank Act
   US Code: 12 USC 5365 Name of Law: Dodd-Frank 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:
	80 FR 75457	12/02/2015
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 62129	09/08/2016
Did the Agency receive public comments on this ICR? Yes

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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
Consolidated Financial Statements for Holding Companies (AA HCs)	FR Y-9C	Consolidated Financial Statements for Holding Companies
Consolidated Financial Statements for Holding Companies (non AA HCs)	FR Y-9C	Consolidated Financial Statements for Holding Companies
Financial Statements for Employee Stock Ownership Plan Holding Companies	FR Y-9ES	Financial Statements for Employee Stock Ownership Plan Holding Companies
Parent Company Only Financial Statements for Large Holding Companies	FR Y-9LP	Parent Company Only Financial Statements for Large Holding Companies
Parent Company Only Financial Statements for Small Holding Companies	FR Y-9SP	Parent Company Only Financial Statements for Small Holding Companies
Supplement to the Consolidated Financial Statements for Holding Companies	FR Y-9CS	Supplement to the Consolidated Financial Statements for Holding Companies

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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	15,112	15,112	0	0	0	0
Annual Time Burden (Hours)	195,585	197,372	0	-1,787	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The current annual reporting burden for the FR Y-9 family of reports is estimated to be 197,372 hours and would decrease to 195,585 hours. The average estimated hours per response for non-advanced approaches FR Y-9C filers would decrease from 50.84 hours to 50.17 hours, a decrease of 0.67 hours associated with the proposed revisions to the FR Y-9C requirements for September 2016 and March 2017. The average estimated hours per response for advanced approaches FR Y-9C filers would decrease from 52.09 hours to 51.42 hours, a decrease of 0.67 hours associated with the proposed revisions to the FR Y-9C requirements for September 2016 and March 2017.

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Annual Cost to Federal Government: $1,922,600

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: 09/14/2016

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