Reporting, Recordkeeping, and Disclosure Requirements Associated with Regulatory Capital Rules

Forms and Documents

Document Name	Status
SPST-0153 Regulatory Capital Rules - Endgame NPR - 9-18-2023.pdf Supporting Statement A	2023-09-18

IC Document Collections

IC ID	Document Title	Status
45438	Guarantees and Credit Derivatives_Substitution Approach: Documentation of Legal Review of Adjustment for Credit Derivatives Without Restructuring as a Credit Event Section _.120(e)(1): One-time	Modified
45435	Cleared Transactions: Documentation of Legal Review Regarding Risk Weight Section _.114(b)(3)(i)(A): Ongoing	Modified
45434	Cleared Transactions: Prior Approval Regarding Exposure Amount of a QCCP to a Clearing Member Section _.114(d)(6)(vi): Ongoing	Modified
45433	Adjusted Derivative Amount: Prior Approval Regarding Supervisory Delta Adjustment Section _.113(i)(3)(ii)(C): Ongoing	Modified
260791	(CT) -- Section _.37(c)(4)(i)(E): Ongoing	Removed
260790	Section_.124(a): Ongoing	Removed
260789	(CR) --Section_.173, Table 13: Ongoing	Removed
260788	Section _.153(b): One-time	Removed
260787	Regulatory Capital Adjustments and Deductions -- Prior Approval -- Section_.22(h)(2)(iii)(A) Ongoing	Removed
260786	Regulatory Capital Adjustments and Deductions -- Prior Approval -- Sections_.22(c)(5)(i), (c)(6), (d)(2)(i)(C) Ongoing	Removed
231223	(CR) -- Section _.173, Table 5: One-time	Removed
231222	(CR) -- Section_.173, Table 5: Ongoing	Removed
231221	(Capital Adequacy) -- Section _.173, Table 3: One-time	Removed
231220	(Capital Adequacy) -- Section_.173, Table 3: Ongoing	Removed
231219	Credit Risk _.62(a),(b), & (c), Quantitative and Qualitative Disclosures _.63(a) & (b) & _.63 Tables: Ongoing	Modified
231216	Risk-Weighted Assets for Sec. Exposures: Implicit Support _.42(e)(2): Ongoing	Modified
227467	Risk-Weighted Assets for Sec. Exposures: Implicit Support _.42(e)(2), Credit Risk _.62(a),(b), & (c), Quantitative and Qualitative Disclosures _.63(a) & (b) & _.63 Tables: One-time	Modified
227466	Collateralized Transactions: Internal Estimates for Haircuts Section _.37(c)(4)(i)(E): Ongoing	Modified
227465	Operational Requirements for Securitization Exp.: Doc. Analysis of Oper. Criteria, Section _.41(c)(2)(ii): Ongoing	Modified
227464	Operational Requirements for Securitization Exp.: Legal Opinion Re Oper. Criteria for Synthetic Securitizations, Section _.41(b)(3) Doc. Analysis of Oper. Criteria, Section _.41(c)(2)(i): One-Time	Modified
227463	Collateralized Transactions: Internal Estimates for Haircuts Section _.37(c)(4)(i)(E): Ongoing	Modified
227462	Collateralized Transactions: Internal Estimates for Haircuts Section _.37(c)(4)(i)(E): One-time	Modified
227461	Cleared Transactions: Cleared Transaction with a QCCP Risk Weights Section _.35(b)(3)(i)(A): Ongoing	Modified
227460	Cleared Transactions: Cleared Transaction with a QCCP Risk Weights Section _.35(b)(3)(i)(A): One-time	Modified
227459	Derivative Contracts: Exposure Amount Methodology Section _.34(a)(1)(ii): Ongoing	Modified
227458	Regulatory Capital Adjustments and Deductions -- Prior Approval – Section _.22(h)(2)(iii)(A): Ongoing	Modified
227457	Regulatory Capital Adjustments and Deductions -- Prior Approval – Sections _.22(b)(2)(iv), (c)(4), (c)(5)(i), (c)(6), (d)(2)(i)(C), (d)(2)(iii): Ongoing	Modified
227456	Counterparty Credit Risk Operational Requirements -- Legal Opinion -- Section _.3(d): Ongoing	Modified
227455	Disclosures - Section _.162 (Tables 1-14): Ongoing	Modified
227454	Disclosures - Section _.162 (Tables 1-14): One-Time	Modified
209722	Disclosure - Section _.20(c)(1)(xiv), (d)(1)(xi): Ongoing	Modified
207610	Disclosure Policy Section _.161(b) Ongoing	Modified
207609	Operational Risk Capital - Operational Risk Management and Operational Loss Event Data Collection Processes Documentation, Section _.150(f)(1)-(2): Ongoing	Modified
207608	Operational Risk Capital - Operational Risk Management and Operational Loss Event Data Collection Processes Documentation Section _.150(f)(1)-(2): One-time	Modified
207607	Operational Risk Capital: Prior Approval of Operational Loss Events Exclusion Section _.150(e)(3)(i)-(ii): Ongoing	Modified
207606	Operational Risk Capital: Prior Approval of Business Indicator Exclusions Section _.150(d)(5): Ongoing	Modified
207605	Operational Criteria for Recognizing the Transfer of Risk - Updating Analysis for Each Securitization Exposure Section _.130(c)(2)(ii) Ongoing	Modified
207604	Operational Criteria for Recognizing the Transfer of Risk: Documentation of Analysis of Risk of Securitization Exposure -- Section _.130(c)(2)(i)-(ii): One-time	Modified
207603	Operational Criteria for Recognizing the Transfer of Risk: Legal Opinion Section _.130(b)(3): Ongoing	Modified
207602	Collateralized Transactions: Maintain Written Documentation for Transactions Subject to the Minimum Haircut Floors Section _.121(d)(2)(ii)(C): Ongoing	Modified
207600	Guarantees and Credit Derivatives_Substitution Approach: Documentation of Legal Review of Adjustment for Credit Derivatives Without Restructuring as a Credit Event Section _.120(e)(1): Ongoing	Modified

ICR Details

OMB Control No: 3064-0153	ICR Reference No: 202309-3064-001
Status: Received in OIRA	Previous ICR Reference No: 202306-3064-008
Agency/Subagency: FDIC	Agency Tracking No: 3064-0153
Title: Reporting, Recordkeeping, and Disclosure Requirements Associated with Regulatory Capital Rules
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 09/18/2023

	Requested	Previously Approved
Expiration Date	36 Months From Approved	08/31/2026
Responses	24,507	15,253
Time Burden (Hours)	118,392	93,621
Cost Burden (Dollars)	0	0

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Abstract: This collection comprises the reporting, disclosure, and recordkeeping requirements associated with minimum capital requirements and overall capital adequacy standards for insured state nonmember banks, state savings associations, and certain subsidiaries of those entities. The data is used by the FDIC to evaluate capital before approving various applications by insured depository institutions, to evaluate capital as an essential component in determining safety and soundness, and to determine whether an institution is subject to prompt corrective action provisions.

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Authorizing Statute(s): US Code: 12 USC 1831o Name of Law: Federal Deposit Insurance Act
  

Citations for New Statutory Requirements: PL: Pub.L. 111 - 203 1435-38 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3064-AF29	Proposed rulemaking	88 FR 64028	09/18/2023

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 31

IC Title	Form No.	Form Name
(CR) -- Section _.173, Table 5: One-time
(CR) -- Section_.173, Table 5: Ongoing
(CR) --Section_.173, Table 13: Ongoing
(CT) -- Section _.37(c)(4)(i)(E): Ongoing
(Capital Adequacy) -- Section _.173, Table 3: One-time
(Capital Adequacy) -- Section_.173, Table 3: Ongoing
Adjusted Derivative Amount: Prior Approval Regarding Supervisory Delta Adjustment Section _.113(i)(3)(ii)(C): Ongoing
Cleared Transactions: Cleared Transaction with a QCCP Risk Weights Section _.35(b)(3)(i)(A): One-time
Cleared Transactions: Cleared Transaction with a QCCP Risk Weights Section _.35(b)(3)(i)(A): Ongoing
Cleared Transactions: Documentation of Legal Review Regarding Risk Weight Section _.114(b)(3)(i)(A): Ongoing
Cleared Transactions: Prior Approval Regarding Exposure Amount of a QCCP to a Clearing Member Section _.114(d)(6)(vi): Ongoing
Collateralized Transactions: Internal Estimates for Haircuts Section _.37(c)(4)(i)(E): One-time
Collateralized Transactions: Internal Estimates for Haircuts Section _.37(c)(4)(i)(E): Ongoing
Collateralized Transactions: Internal Estimates for Haircuts Section _.37(c)(4)(i)(E): Ongoing
Collateralized Transactions: Maintain Written Documentation for Transactions Subject to the Minimum Haircut Floors Section _.121(d)(2)(ii)(C): Ongoing
Counterparty Credit Risk Operational Requirements -- Legal Opinion -- Section _.3(d): Ongoing
Credit Risk _.62(a),(b), & (c), Quantitative and Qualitative Disclosures _.63(a) & (b) & _.63 Tables: Ongoing
Derivative Contracts: Exposure Amount Methodology Section _.34(a)(1)(ii): Ongoing
Disclosure - Section _.20(c)(1)(xiv), (d)(1)(xi): Ongoing
Disclosure Policy Section _.161(b) Ongoing
Disclosures - Section _.162 (Tables 1-14): One-Time
Disclosures - Section _.162 (Tables 1-14): Ongoing
Guarantees and Credit Derivatives_Substitution Approach: Documentation of Legal Review of Adjustment for Credit Derivatives Without Restructuring as a Credit Event Section _.120(e)(1): One-time
Guarantees and Credit Derivatives_Substitution Approach: Documentation of Legal Review of Adjustment for Credit Derivatives Without Restructuring as a Credit Event Section _.120(e)(1): Ongoing
Operational Criteria for Recognizing the Transfer of Risk - Updating Analysis for Each Securitization Exposure Section _.130(c)(2)(ii) Ongoing
Operational Criteria for Recognizing the Transfer of Risk: Documentation of Analysis of Risk of Securitization Exposure -- Section _.130(c)(2)(i)-(ii): One-time
Operational Criteria for Recognizing the Transfer of Risk: Legal Opinion Section _.130(b)(3): Ongoing
Operational Requirements for Securitization Exp.: Doc. Analysis of Oper. Criteria, Section _.41(c)(2)(ii): Ongoing
Operational Requirements for Securitization Exp.: Legal Opinion Re Oper. Criteria for Synthetic Securitizations, Section _.41(b)(3) Doc. Analysis of Oper. Criteria, Section _.41(c)(2)(i): One-Time
Operational Risk Capital - Operational Risk Management and Operational Loss Event Data Collection Processes Documentation Section _.150(f)(1)-(2): One-time
Operational Risk Capital - Operational Risk Management and Operational Loss Event Data Collection Processes Documentation, Section _.150(f)(1)-(2): Ongoing
Operational Risk Capital: Prior Approval of Business Indicator Exclusions Section _.150(d)(5): Ongoing
Operational Risk Capital: Prior Approval of Operational Loss Events Exclusion Section _.150(e)(3)(i)-(ii): Ongoing
Regulatory Capital Adjustments and Deductions -- Prior Approval -- Section_.22(h)(2)(iii)(A) Ongoing
Regulatory Capital Adjustments and Deductions -- Prior Approval -- Sections_.22(c)(5)(i), (c)(6), (d)(2)(i)(C) Ongoing
Regulatory Capital Adjustments and Deductions -- Prior Approval – Section _.22(h)(2)(iii)(A): Ongoing
Regulatory Capital Adjustments and Deductions -- Prior Approval – Sections _.22(b)(2)(iv), (c)(4), (c)(5)(i), (c)(6), (d)(2)(i)(C), (d)(2)(iii): Ongoing
Risk-Weighted Assets for Sec. Exposures: Implicit Support _.42(e)(2), Credit Risk _.62(a),(b), & (c), Quantitative and Qualitative Disclosures _.63(a) & (b) & _.63 Tables: One-time
Risk-Weighted Assets for Sec. Exposures: Implicit Support _.42(e)(2): Ongoing
Section _.153(b): One-time
Section_.124(a): Ongoing

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ICR Summary of Burden

	Total Request	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	24,507	15,253	0	0	9,254	0
Annual Time Burden (Hours)	118,392	93,621	0	0	24,771	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:

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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.     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? Yes

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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: 09/18/2023

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