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Federal forms, ICRs, and supporting documents

OMB control number

Volcker Rule Restrictions on Proprietary Trading and Relationships with Hedge Funds and Private Equity Funds

OMB 3064-0184 · FDIC.

OMB 3064-0184

Section 619 of the Dodd-Frank Act added a new section 13 to the Bank Holding Company (“BHC”) Act (codified at 12 U.S.C. § 1851) that, subject to certain exemptions, generally prohibits any banking entity from engaging in proprietary trading or from investing in, sponsoring, or having certain relationships with a hedge fund or private equity fund (“covered fund”) (the “Volcker Rule”). The BHC Act also provides for certain nonbank financial companies that engage in such activities or have such investments or relationships to be subject to additional capital requirements, quantitative limits, or other restrictions. The agencies are revising to the Volcker Rule to provide banking entities with a greater certainty about what activities are prohibited and to improve supervision and implementation of section 13 of the BHC Act, while reducing the overall complexity and burden associated with the prior rule.

The latest form for Volcker Rule Restrictions on Proprietary Trading and Relationships with Hedge Funds and Private Equity Funds expires 2026-10-31 and is listed under ICR 202307-3064-005.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
FR2 0184 - Volcker 88 FR 47500 July 24 2023 2023.pdf Supplementary Document
FR1 0184 - Volcker 88 FR 24796 April 24 2023.pdf Supplementary Document
SPST-0184 Volcker 2023 Extention.docxSupporting Statement A
Section 351.10 (c)(18)(ii)B)(1) - Recordkeeping Ongoing Information collection
Section 351.10(c)(18)(ii)(B)(1) - Recordkeeping Initial Setup Information collection
351.20(d) ($20 billion or more) Recordkeeping Ongoing Information collection
351.20(c) Recordkeeping Ongoing Information collection
351.5(c) Recordkeeping Ongoing Information collection
351.4(c)(3)(i) Ongoing Information collection
351.20(i) Reporting Ongoing Information collection
351,20(d) ($20 billion or more) Reporting Ongoing Information collection
351.4(c)(3)(i) Reporting Ongoing Information collection
351.20(d) ($20 billion or more) Recordkeeping Initial Setup Information collection
351.20(c) Recordkeeping Initial Setup Information collection
351.5(c) Recordkeeping Initial Setup Information collection
351.4(c)(3)(i) Recordkeeping Initial Setup Information collection
351.20(i) Reporting Initial Setup Information collection
351.20(d) ($20 billion or more) - Reporting Initial Setup Information collection
Section 351.4(c)(3)(i) Reporting Initial Setup Information collection
351.20(f)(2) - Recordkeeping Ongoing Information collection
351.20(f)(2) - Recordkeeping Initial Setup Information collection
351.20(f)(1) - Recordkeeping Ongoing Information collection
351.20(f)(1) - Recordkeeping Initial Setup Information collection
351.20(e) - Recordkeeping Ongoing Information collection
351.20(e) - Recordkeeping Initial Setup Information collection
351.4(b)(3)(i)(A) - Recordkeeping Ongoing Information collection
351.4(b)(3)(i)(A) - Recordkeeping Initial Setup Information collection
351.3(d)(3) - Recordkeeping Ongoing Information collection
351.3(d)(3) - Recordkeeping Initial Setup Information collection
351.11(a)(8)(i) - Disclosure Ongoing Information collection
351.11(a)(8)(i) - Disclosure Initial Setup Information collection
351.20(b) - Recordkeeping Ongoing Information collection
351.20(b) - Recordkeeping Initial Setup Information collection
351.11(a)(2) - Recordkeeping Ongoing Information collection
351.11(a)(2) - Recordkeeping Initial Setup Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202307-3064-005 Extension without change of a currently approved collection 2023-07-24 Approved without change
202007-3064-003 Revision of a currently approved collection 2020-07-31 Approved without change
202002-3064-004 Revision of a currently approved collection 2020-02-28 Preapproved
201811-3064-002 Revision of a currently approved collection 2019-11-15 Approved with change
201806-3064-001 Revision of a currently approved collection 2018-07-18 Preapproved
201604-3064-003 Extension without change of a currently approved collection 2017-04-28 Approved without change
201312-3064-002 New collection (Request for a new OMB Control Number) 2014-01-31 Approved without change
201110-3064-001 New collection (Request for a new OMB Control Number) 2011-11-07 Comment filed on proposed rule

OMB Details

351.11(a)(2) - Recordkeeping Initial Setup

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