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-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
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_FRY3N_FRY4_20210729_omb.pdf	Supporting Statement A	Uploaded 2021-07-29	Available

IC Document Collections

Information collection document groups

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

ICR Details

OMB Control No: 7100-0121	ICR Reference No: 202106-7100-017
Status: Historical Active	Previous ICR Reference No: 202106-7100-005
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: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Delegated
OIRA Conclusion Action: Approved without change	Conclusion Date: 07/29/2021
Retrieve Notice of Action (NOA)	Date Received in OIRA: 07/29/2021
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	07/31/2024	36 Months From Approved	07/31/2021
Responses	355	0	355
Time Burden (Hours)	7,454	0	7,519
Cost Burden (Dollars)	0	0	0

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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) and companies seeking to become BHCs involving certain formations, acquisitions, mergers, and nonbanking activities. The Board requires the submission of these filings for regulatory and supervisory purposes and to fulfill its statutory obligations under the Bank Holding Company Act of 1956 (BHC Act). The Board uses the information submitted in these filings to evaluate each individual transaction with respect to the relevant statutory factors and to ensure that the transaction complies with other applicable requirements.

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Authorizing Statute(s): US Code: 12 USC 1844(b) Name of Law: Bank Holding Company Act of 1956
   US Code: 12 USC 1844(c) Name of Law: Bank Holding Company Act of 1956
   US Code: 12 USC 1843(j) Name of Law: Bank Holding Company Act of 1956
   US Code: 12 USC 1842(a) Name of Law: Bank Holding Company Act of 1956
  

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:
	86 FR 20149	04/16/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 40839	07/29/2021
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

IC Title	Form No.	Form Name
Disclosure FR Y-3	FR Y-3	Application to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
Disclosure FR Y-3N	FR Y-3N	Notification to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
Disclosure 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
Reporting FR Y-3 Existing BHCs	FR Y-3	Application to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
Reporting FR Y-3 New BHCs	FR Y-3	Application to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
Reporting FR Y-3N	FR Y-3N	Notification to Become a Bank Holding Company and/or Acquire an Additional Bank or Bank Holding Company
Reporting 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
Reporting 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
Reporting 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

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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	355	355	0	0	0	0
Annual Time Burden (Hours)	7,454	7,519	0	-65	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 estimated total annual burden for the FR Y-3, FR Y-3N, and FR Y-4 is 7,519 hours, and would decrease to 7,454 hours with the revisions. The current burden estimates are based on the number of applications and notifications, including post-consummation notices, received in 2018 and 2019.

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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

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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: 07/29/2021

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