Recordkeeping and Disclosure Requirements Associated with Regulation Q

Forms and Documents

Document Name	Status
FR4200_20170828_omb.pdf Supporting Statement A	2017-08-28

IC Document Collections

IC ID	Document Title	Status
228046	Risk-based Capital Surcharge for GSIBs - Recordkeeping Sections 217.402 and 217.403	New
222112	Advanced Approach - Disclosure Section 217.173 Table 13	Modified
210475	Advanced Approach - Disclosure Sections 217.142, 217.172, and 217.173 Tables 4, 5, 9, and 12	Modified
210474	Advanced Approach - Recordkeeping Sections 217.121(b), 217.122, 217.123, 217.124, 217.132(b)(2)(iii)(A), 217.132(b)(3), 217.132(d)(1), 217.132(d)(1)(iii), 217.132(d)(2)(iv), 217.132(d)(3)(viii), 217.1	Modified
210473	Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63	Modified
210472	Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), and 217.41(c)(2)(ii)	Modified
210470	Minimum Capital Ratios - Recordkeeping Sections 217.3(d) and 217.22(h)(2)(iii)(A)	Modified
210469	Advanced Approach - Disclosure Section 217.173 Tables 4, 5, 9, and 12 (One-Time)	Modified
210468	Advanced Approach - Recordkeeping Sections 217.132(b)(2)(iii)(A), 217.132(d)(2)(iv), 217.132(d)(3)(vi), 217.132(d)(3)(viii), 217.132(d)(3)(ix), 217.132(d)(3)(x), 217.132(d)(3)(xi), 217.141( (One-Time)	Modified
210467	Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63 (One-Time)	Modified
210466	Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), 217.41(b)(3), and 217.41(c)(2)(i) (One-Time)	Modified

ICR Details

OMB Control No: 7100-0313	ICR Reference No: 201708-7100-026
Status: Historical Active	Previous ICR Reference No: 201708-7100-025
Agency/Subagency: FRS	Agency Tracking No: FR 4200
Title: Recordkeeping and Disclosure Requirements Associated with Regulation Q
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: 08/28/2017
	Date Received in OIRA: 08/28/2017
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2019	06/30/2019	06/30/2019
Responses	3,046	0	3,025
Time Burden (Hours)	66,622	0	66,611
Cost Burden (Dollars)	0	0	0

---

Abstract: In September and October of 2013, the Office of the Comptroller of the Currency (OCC), the Board, and the Federal Deposit Insurance Corporation (FDIC) (collectively, the agencies) published final rules that revised their risk-based and leverage capital requirements for banking organizations. For the Board, Regulation Q - Capital Adequacy of Bank Holding Companies, Savings and Loan Holding Companies, and State Member Banks was revised and created recordkeeping and disclosure requirements.

---

Authorizing Statute(s): US Code: 12 USC 1831o(c) Name of Law: Federal Deposit Insurance Act
   US Code: 12 USC 3907(a)(1) Name of Law: International Lending Supervision Act of 1983
   US Code: 12 USC 324 Name of Law: Federal Reserve Act
   US Code: 12 USC 1844(c) Name of Law: Bank Holding Company Act
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 124 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
7100-AE26	Final or interim final rulemaking	80 FR 49082	08/14/2015

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 75473	12/18/2014
30-day Notice:	Federal Register Citation:	Citation Date:
	80 FR 49082	08/14/2015
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 11

IC Title	Form No.	Form Name
Risk-based Capital Surcharge for GSIBs - Recordkeeping Sections 217.402 and 217.403
Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63 (One-Time)
Advanced Approach - Recordkeeping Sections 217.132(b)(2)(iii)(A), 217.132(d)(2)(iv), 217.132(d)(3)(vi), 217.132(d)(3)(viii), 217.132(d)(3)(ix), 217.132(d)(3)(x), 217.132(d)(3)(xi), 217.141( (One-Time)
Advanced Approach - Disclosure Section 217.173 Tables 4, 5, 9, and 12 (One-Time)
Minimum Capital Ratios - Recordkeeping Sections 217.3(d) and 217.22(h)(2)(iii)(A)
Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), and 217.41(c)(2)(ii)
Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), 217.41(b)(3), and 217.41(c)(2)(i) (One-Time)
Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63
Advanced Approach - Disclosure Sections 217.142, 217.172, and 217.173 Tables 4, 5, 9, and 12
Advanced Approach - Disclosure Section 217.173 Table 13
Advanced Approach - Recordkeeping Sections 217.121(b), 217.122, 217.123, 217.124, 217.132(b)(2)(iii)(A), 217.132(b)(3), 217.132(d)(1), 217.132(d)(1)(iii), 217.132(d)(2)(iv), 217.132(d)(3)(viii), 217.1

---

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	3,046	3,025	21	0	0	0
Annual Time Burden (Hours)	66,622	66,611	11	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: The current annual burden for the FR 4200 is estimated to be 66,611 hours. The proposed recordkeeping requirements would increase the estimated annual burden hours by 11 hours.

---

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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: 08/28/2017

---