Bank Holding Company Applications and Notifications

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form FR Y-3 Application to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company	Form	Modified	Available
Form FR Y-4 Notification by a Bank Holding Company to Acquire a Nonbank Company and/or Engage in Nonbanking Activities	Form	Modified	Available
Form FR Y-4 Notification by a Bank Holding Company to Acquire a Nonbank Company and/or Engage in Nonbanking Activities	Form	Modified	Available
Form FR Y-4 Notification by a Bank Holding Company to Acquire a Nonbank Company and/or Engage in Nonbanking Activities	Form	Modified	Available
Form FR Y-3N Notification to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company	Form	Modified	Available
Form FR Y-3 Application to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company	Form	Modified	Available
FRY3_3N_4_202102_83c.pdf	Justification for No Material/Nonsubstantive Change	Uploaded 2021-06-24	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
36129	New BHCs	Form	Modified	Application to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
36129	New BHCs	Instruction	Modified
248034	Y-4 (complete notification) Disclosure		New
248033	Y-3N Disclosure		New
248032	Y-3 Disclosure		New
183250	FR Y-4 Post-consummation	Form	Modified	Notification by a Bank Holding Company to Acquire a Nonbank Company and/or Engage in Nonbanking Activities
183250	FR Y-4 Post-consummation	Instruction	Modified
183249	FR Y-4 Expedited notification	Form	Modified	Notification by a Bank Holding Company to Acquire a Nonbank Company and/or Engage in Nonbanking Activities
183249	FR Y-4 Expedited notification	Instruction	Modified
183236	FR Y-4 Complete notification	Form	Modified	Notification by a Bank Holding Company to Acquire a Nonbank Company and/or Engage in Nonbanking Activities
183236	FR Y-4 Complete notification	Instruction	Modified
183235	Notices	Form	Modified	Notification to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
183235	Notices	Instruction	Modified
183234	Existing BHCs	Form	Modified	Application to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
183234	Existing BHCs	Instruction	Modified

ICR Details

OMB Control No: 7100-0121	ICR Reference No: 202106-7100-005
Status: Historical Active	Previous ICR Reference No: 201807-7100-012
Agency/Subagency: FRS	Agency Tracking No: FR Y-3; FR Y-3N; FR Y-4
Title: Bank Holding Company Applications and Notifications
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Delegated
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/24/2021
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/24/2021
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2021	07/31/2021	07/31/2021
Responses	355	0	285
Time Burden (Hours)	7,519	0	12,824
Cost Burden (Dollars)	0	0	0

---

Abstract: This information collection is comprised of the following reporting forms: Application to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company (FR Y-3), Notification to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company (FR Y-3N), and Notification by a Bank Holding Company to Acquire a Nonbank Company and/or Engage in Nonbanking Activities (FR Y-4). These filings collect information on proposals by Bank Holding Companies (BHCs) involving formations, acquisitions, mergers, and nonbanking activities. The Board requires the submission of these filings for regulatory and supervisory purposes and to allow the Board to fulfill its statutory obligations under the Bank Holding Company Act of 1956 (the BHC Act). The Board uses this information to evaluate each individual transaction with respect to financial and managerial factors, permissibility, competitive effects, financial stability, net public benefits, and the impact on the convenience and needs of affected communities.

---

Authorizing Statute(s): US Code: 12 USC 1844(b) Name of Law: Bank Holding Company Act
   US Code: 12 USC 1843(j) Name of Law: Bank Holding Company Act
   US Code: 12 USC 1842(a) Name of Law: Bank Holding Company Act
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 12758	03/23/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 34580	07/20/2018
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 9

table that charts list of burden

IC Title	Form No.	Form Name
Existing BHCs	FR Y-3	Application to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
FR Y-4 Complete notification	FR Y-4	Notification by a Bank Holding Company to Acquire a Nonbank Company and/or Engage in Nonbanking Activities
FR Y-4 Expedited notification	FR Y-4	Notification by a Bank Holding Company to Acquire a Nonbank Company and/or Engage in Nonbanking Activities
FR Y-4 Post-consummation	FR Y-4	Notification by a Bank Holding Company to Acquire a Nonbank Company and/or Engage in Nonbanking Activities
New BHCs	FR Y-3	Application to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
Notices	FR Y-3N	Notification to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
Y-3 Disclosure
Y-3N Disclosure
Y-4 (complete notification) Disclosure

---

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	355	285	0	0	70	0
Annual Time Burden (Hours)	7,519	12,824	0	0	-5,305	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 decrease in burden hours reflects an update to the respondent count. In addition, the Board has created three additional ICs to account for disclosure burden. Previously, the disclosure burden was accounted for in the reporting ICs. This change results in an increase in the number of responses, but is only an accounting method change and represents no change in the burden.

---

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.     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]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

---

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: 06/24/2021

---