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	Modified	Available
Form FR Y-9SP Parent Company Only Financial Statements for Small Holding Companies	Form	Modified	Available
Form FR Y-9LP Parent Company Only Financial Statements for Large Holding Companies	Form	Modified	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_20191220_omb.pdf	Supporting Statement A	Uploaded 2019-12-20	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	Modified	Financial Statements for Employee Stock Ownership Plan Holding Companies
45881	Financial Statements for Employee Stock Ownership Plan Holding Companies	Instruction	Modified
45880	Parent Company Only Financial Statements for Small Holding Companies	Form	Modified	Parent Company Only Financial Statements for Small Holding Companies
45880	Parent Company Only Financial Statements for Small Holding Companies	Instruction	Modified
45879	Parent Company Only Financial Statements for Large Holding Companies	Form	Modified	Parent Company Only Financial Statements for Large Holding Companies
45879	Parent Company Only Financial Statements for Large Holding Companies	Instruction	Modified
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: 201912-7100-015
Status: Historical Active	Previous ICR Reference No: 201909-7100-001
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: 12/20/2019
Retrieve Notice of Action (NOA)	Date Received in OIRA: 12/20/2019
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2022	36 Months From Approved	03/31/2022
Responses	12,135	0	12,135
Time Burden (Hours)	119,812	0	119,816
Cost Burden (Dollars)	0	0	0

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Abstract: The Board requires bank holding companies (BHCs), most savings and loan holding companies (SLHCs), securities holding companies, and U.S. intermediate holding companies (IHCs) (collectively, HCs) to provide standardized financial statements through one or more of the FR Y 9 reports. The information collected on the FR Y 9 reports is necessary for the Board to identify emerging financial risks and monitor the safety and soundness of HC operations.

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Authorizing Statute(s): US Code: 12 USC 1467a(b)(2) Name of Law: Home Owners’ Loan Act
   US Code: 12 USC 1467a(b)(3) Name of Law: Home Owners’ Loan Act
   US Code: 12 USC 1844 Name of Law: Bank Holding Company Act of 1956
   US Code: 12 USC 511(a)(1) Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
   US Code: 12 USC 5365 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
   US Code: 12 USC 1850a(c)(1)(A) Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
  

Citations for New Statutory Requirements: PL: Pub.L. 115 - 174 132 Name of Law: Economic Growth, Regulatory Relief, and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
7100-AF45	Final or interim final rulemaking	84 FR 59032	11/01/2019

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 61408	11/29/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 21988	05/15/2019
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
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	12,135	12,135	0	0	0	0
Annual Time Burden (Hours)	119,812	119,816	-4	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 estimated total annual burden for the FR Y-9 family of reports is 119,816 hours, and would decrease to 119,812 hours with the adopted revisions. The Board estimates that revisions to the FR Y-9C would increase the non AA HCs respondent count by 1 and decrease the AA HCs respondent count by 1. The Board estimates that revisions to the FR Y-9 would decrease the estimated annual burden by 4 hours.

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Annual Cost to Federal Government: $2,050,800

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.     Yes

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

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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: 12/20/2019

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