Capital Adequacy Standards

OMB 1557-0318

This supporting statement relates to an interim final rule that introduces a new notice opt-in requirement and a requirement for prior approval for distributions. A a national bank or Federal savings association, when calculating on-balance sheet assets as of each day of a reporting quarter for purposes of determining the national bank’s or Federal savings association’s total leverage exposure, may exclude the balance sheet carrying value of U.S. Treasury securities and funds on deposit at a Federal Reserve Bank. Before applying this relief, a national bank or Federal savings association must first notify the OCC. During the calendar quarter beginning on July 1, 2020, and until March 31, 2021, no national bank or Federal savings association that has opted in to this relief may make a distribution, or create an obligation to make such a distribution, without prior OCC approval.

The latest form for Capital Adequacy Standards expires 2021-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
1557-0318 Capital Supporting Statement B3 revision (NPR OMB Submission).docx Supporting Statement A
Expanded Risk Based Approach: Disclosures -- Section _.162 (Tables 1-14): Ongoing
Expanded Risk Based Approach: Disclosures -- Section _.162 (Tables 1-14): One-time
Expanded Risk Based Approach: Disclosure -- Section: _.20(c)(1)(xiv), (d)(1)(xi): Ongoing
Expanded Risk Based Approach: Disclosure Requirements -- Disclosure Policy Section: _.161(b): Ongoing
Expanded Risk Based Approach: Operational Risk Capital -- Operational Risk Management and Operational Loss Event Data Collection Processes Documentation Section: _.150(f)(1)-(2): Ongoing
Expanded Risk Based Approach: Operational Risk Capital -- Operational Risk Management and Operational Loss Event Data Collection Processes Documentation Section: _.150(f)(1)-(2): One-time
Expanded Risk Based Approach: Operational Risk Capital -- Prior Approval of Operational Loss Events Exclusion Section: _.150(e)(3)(i)-(ii): Ongoing
Expanded Risk Based Approach: Operational Risk Capital -- Prior Approval of Business Indicator Exclusions Section: _.150(d)(5): Ongoing
Expanded Risk Based Approach: Operational Criteria for Recognizing the Transfer of Risk -- Updating Analysis for Each Securitization Exposure Section: _.130(c)(2)(ii): Ongoing
Expanded Risk Based Approach: Operational Criteria for Recognizing the Transfer of Risk -- Documentation of Analysis of Risk of Securitization Exposure Section: _.130(c)(2)(i)-(ii): One-time
Expanded Risk Based Approach: Operational Criteria for Recognizing the Transfer of Risk -- Legal Opinion Section: _.130(b)(3): Ongoing
Expanded Risk Based Approach: Collateralized Transactions -- Maintain Written Documentation for Transactions Subject to the Minimum Haircut Floors Section: __.121(d)(2)(ii)(C): 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): 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
Expanded Risk Based Approach: Cleared Transactions -- Prior Approval Regarding Exposure Amount of a QCCP to a Clearing Member -- Section: _.114(d)(6)(vi): Ongoing
Expanded Risk Based Approach: Cleared Transactions -- Documentation of Legal Review Regarding Risk Weight Section: _.114(b)(3)(i)(A): Ongoing
Expanded Risk Based Approach: Adjusted Derivative Amount -- Prior Approval Regarding Supervisory Delta Adjustment -- Section: _.113(i)(3)(ii)(C): Ongoing
Standardized Approach: Credit Risk -- Disclosures Sections: _.62(a)-(c), Credit Risk -- Quantitative and Qualitative Disclosures Sections: _.63(a)-(b), and _.63 Tables: Ongoing
Standardized Approach: Risk-Weighted Assets for Securitization Exposures -- Implicit Support Disclosure Section: _.42(e)(2): Ongoing
Risk-Weighted Assets for Sec. Exposures -- Implicit Support Section: _.42(e)(2), Credit Risk Sections: _.62(a)-(c), Quantitative & Qualitative Disclosures Sections: _.63(a)-(b) & _.63 Tables: One-time
Standardized Approach: Collateralized Transactions -- Internal Estimates for Haircuts -- Section _.37(c)(4)(i)(E): Ongoing
Operational Requirements for Securitization Exposures -- Document Analysis of Operational Criteria for Synthetic Securitizations 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
Standardized Approach: Collateralized Transactions -- Internal Estimates for Haircuts Section: _.37(c)(4)(i)(E): Ongoing
Standardized Approach: Collateralized Transactions -- Internal Estimates for Haircuts Section: _.37(c)(4)(i)(E): One-time
Standardized Approach: Cleared Transactions -- Cleared Transaction with a QCCP Risk Weights Section: _.35(b)(3)(i)(A): Ongoing
Standardized Approach: Cleared Transactions -- Cleared Transaction with a QCCP Risk Weights Section: _.35(b)(3)(i)(A): One-time
Standardized Approach: Derivative Contracts -- Exposure Amount Methodology Section: _.34(a)(1)(ii): Ongoing
Minimum Regulatory Capital Ratios: Regulatory Capital Adjustments and Deductions -- Prior Approval Section: _.22(h)(2)(iii)(A): Ongoing
Minimum Regulatory Capital Ratios: 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
Minimum Regulatory Capital Ratios: Counterparty Credit Risk Operational Requirements -- Legal Opinion -- Section: _.3(d): Ongoing
Opt-in Requirement and Prior Approval for Distributions
Minimum Regulatory Capital Ratios - Recordkeeping
Advanced Approaches - Recordkeeping
Advanced Approaches - Disclosures
Standardized Approach - Recordkeeping
Standardized Approach - Disclosures

All Historical Document Collections

202311-1557-001	Revision of a currently approved collection	2023-11-14
202011-1557-001	Extension without change of a currently approved collection	2020-12-08
202005-1557-004 Approved without change	Revision of a currently approved collection	2020-06-01
201910-1557-002 Approved without change	Revision of a currently approved collection	2019-11-01
201907-1557-005 Approved without change	Revision of a currently approved collection	2019-07-22
201905-1557-007 Comment filed on proposed rule and continue	Revision of a currently approved collection	2019-05-30
201902-1557-006 Approved without change	Revision of a currently approved collection	2019-02-14
201811-1557-001 Comment filed on proposed rule and continue	Revision of a currently approved collection	2018-12-17
201809-1557-002 Comment filed on proposed rule and continue	Revision of a currently approved collection	2018-10-01
201804-1557-001 Preapproved	Revision of a currently approved collection	2018-05-17
201710-1557-005 Comment filed on proposed rule and continue	Revision of a currently approved collection	2017-10-31
201709-1557-002 Withdrawn and continue	Revision of a currently approved collection	2017-10-31
201701-1557-002 Approved without change	Revision of a currently approved collection	2017-06-05
201403-1557-002 Approved without change	Extension without change of a currently approved collection	2014-05-16
201312-1557-004 Approved without change	New collection (Request for a new OMB Control Number)	2013-12-31

OMB Details

Standardized Approach - Disclosures

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight