Filings Related to the Gramm-Leach-Bliley Act

These reporting and recordkeeping requirements, which are related to amendments made by the Gramm-Leach-Bliley Act (GLB Act) to the Bank Holding Company Act of 1956 (BHC Act) and the Federal Reserve Act (FRA), are composed of the following: Declarations to Become a Financial Holding Company (FR 4010), Requests for Determinations and Interpretations Regarding Activities Financial in Nature (FR 4011), Notices of Failure to Meet Capital or Management Requirements (FR 4012), Notices by State Member Banks to Invest in Financial Subsidiaries (FR 4017), Regulatory Relief Requests Associated with Merchant Banking Activities (FR 4019), and Recordkeeping Requirements Associated with Merchant Banking Activities (FR 4023). These information collections are event-generated and there are no formal reporting forms for these information collections (the FR designations are for internal purposes only). In each case, the information required to be filed is described in the Board’s regulations.

The latest form for Filings Related to the Gramm-Leach-Bliley Act expires 2023-07-31 and can be found here.

FR 4010 - BHCs and SLHCs

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight