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Federal forms, ICRs, and supporting documents

OMB control number

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

OMB 3064-0153 · FDIC.

OMB 3064-0153

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.

The latest form for Reporting, Recordkeeping, and Disclosure Requirements Associated with Regulatory Capital Rules expires 2026-08-31 and is listed under ICR 202306-3064-008.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
SPST-0153 Regulatory Capital Rules - Endgame NPR - 9-18-2023.pdfSupporting Statement A
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 Information collection
Cleared Transactions: Documentation of Legal Review Regarding Risk Weight Section _.114(b)(3)(i)(A): Ongoing Information collection
Cleared Transactions: Prior Approval Regarding Exposure Amount of a QCCP to a Clearing Member Section _.114(d)(6)(vi): Ongoing Information collection
Adjusted Derivative Amount: Prior Approval Regarding Supervisory Delta Adjustment Section _.113(i)(3)(ii)(C): Ongoing Information collection
(CT) -- Section _.37(c)(4)(i)(E): Ongoing Information collection
Section_.124(a): Ongoing Information collection
(CR) --Section_.173, Table 13: Ongoing Information collection
Section _.153(b): One-time Information collection
Regulatory Capital Adjustments and Deductions -- Prior Approval -- Section_.22(h)(2)(iii)(A) Ongoing Information collection
Regulatory Capital Adjustments and Deductions -- Prior Approval -- Sections_.22(c)(5)(i), (c)(6), (d)(2)(i)(C) Ongoing Information collection
(CR) -- Section _.173, Table 5: One-time Information collection
(CR) -- Section_.173, Table 5: Ongoing Information collection
(Capital Adequacy) -- Section _.173, Table 3: One-time Information collection
(Capital Adequacy) -- Section_.173, Table 3: Ongoing Information collection
Credit Risk _.62(a),(b), & (c), Quantitative and Qualitative Disclosures _.63(a) & (b) & _.63 Tables: Ongoing Information collection
Risk-Weighted Assets for Sec. Exposures: Implicit Support _.42(e)(2): Ongoing Information collection
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 Information collection
Collateralized Transactions: Internal Estimates for Haircuts Section _.37(c)(4)(i)(E): Ongoing Information collection
Operational Requirements for Securitization Exp.: Doc. Analysis of Oper. Criteria, Section _.41(c)(2)(ii): Ongoing Information collection
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 Information collection
Collateralized Transactions: Internal Estimates for Haircuts Section _.37(c)(4)(i)(E): Ongoing Information collection
Collateralized Transactions: Internal Estimates for Haircuts Section _.37(c)(4)(i)(E): One-time Information collection
Cleared Transactions: Cleared Transaction with a QCCP Risk Weights Section _.35(b)(3)(i)(A): Ongoing Information collection
Cleared Transactions: Cleared Transaction with a QCCP Risk Weights Section _.35(b)(3)(i)(A): One-time Information collection
Derivative Contracts: Exposure Amount Methodology Section _.34(a)(1)(ii): Ongoing Information collection
Regulatory Capital Adjustments and Deductions -- Prior Approval – Section _.22(h)(2)(iii)(A): Ongoing Information collection
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 Information collection
Counterparty Credit Risk Operational Requirements -- Legal Opinion -- Section _.3(d): Ongoing Information collection
Disclosures - Section _.162 (Tables 1-14): Ongoing Information collection
Disclosures - Section _.162 (Tables 1-14): One-Time Information collection
Disclosure - Section _.20(c)(1)(xiv), (d)(1)(xi): Ongoing Information collection
Disclosure Policy Section _.161(b) Ongoing Information collection
Operational Risk Capital - Operational Risk Management and Operational Loss Event Data Collection Processes Documentation, Section _.150(f)(1)-(2): Ongoing Information collection
Operational Risk Capital - Operational Risk Management and Operational Loss Event Data Collection Processes Documentation Section _.150(f)(1)-(2): One-time Information collection
Operational Risk Capital: Prior Approval of Operational Loss Events Exclusion Section _.150(e)(3)(i)-(ii): Ongoing Information collection
Operational Risk Capital: Prior Approval of Business Indicator Exclusions Section _.150(d)(5): Ongoing Information collection
Operational Criteria for Recognizing the Transfer of Risk - Updating Analysis for Each Securitization Exposure Section _.130(c)(2)(ii) Ongoing Information collection
Operational Criteria for Recognizing the Transfer of Risk: Documentation of Analysis of Risk of Securitization Exposure -- Section _.130(c)(2)(i)-(ii): One-time Information collection
Operational Criteria for Recognizing the Transfer of Risk: Legal Opinion Section _.130(b)(3): Ongoing Information collection
Collateralized Transactions: Maintain Written Documentation for Transactions Subject to the Minimum Haircut Floors Section _.121(d)(2)(ii)(C): Ongoing Information collection
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 Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202309-3064-001 Revision of a currently approved collection 2023-09-18 Comment filed on proposed rule and continue
202306-3064-008 Revision of a currently approved collection 2023-06-23 Approved without change
202011-3064-009 Revision of a currently approved collection 2020-11-27
202006-3064-001 Revision of a currently approved collection 2020-06-01 Approved without change
201911-3064-007 Revision of a currently approved collection 2019-11-19 Approved without change
201907-3064-006 No material or nonsubstantive change to a currently approved collection 2019-07-23 Approved without change
201905-3064-005 Revision of a currently approved collection 2019-05-29 Comment filed on proposed rule and continue
201902-3064-003 Revision of a currently approved collection 2019-02-14 Approved without change
201811-3064-001 Revision of a currently approved collection 2018-12-17 Comment filed on proposed rule and continue
201810-3064-001 Revision of a currently approved collection 2018-10-04 Comment filed on proposed rule and continue
201804-3064-016 Revision of a currently approved collection 2018-05-17 Preapproved
201710-3064-001 Revision of a currently approved collection 2017-10-27 Preapproved
201707-3064-001 Extension without change of a currently approved collection 2017-07-26 Approved without change
201402-3064-004 Extension without change of a currently approved collection 2014-05-12 Approved without change
201401-3064-014 Revision of a currently approved collection 2014-01-24 Approved without change
201306-3064-007 Revision of a currently approved collection 2013-09-11 Withdrawn and continue
201302-3064-002 Reinstatement without change of a previously approved collection 2013-02-14 Approved without change
201206-3064-001 Revision of a currently approved collection 2012-08-30 Comment filed on proposed rule and continue
200911-3064-001 Extension without change of a currently approved collection 2009-11-09 Approved without change
200803-3064-004 Revision of a currently approved collection 2008-03-13 Approved without change
200609-3064-001 New collection (Request for a new OMB Control Number) 2006-09-27 Preapproved

OMB Details

Implementation plan -- Section _.121(b): Ongoing

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight