Financial Statements for Bank Holding Companies

Forms and Documents

Document Name	Status
Form FR Y-9ES Financial Statements for Employee Stock Ownership Plan Bank Holding Companies Form	Unchanged
Form FR Y-9SP Parent Company Only Financial Statements for Small Bank Holding Companies Form	Unchanged
Form FR Y-9LP Parent Company Only Financial Statements for Large Bank Holding Companies Form	Unchanged
Form FR Y-9C Consolidated Financial Statements for Bank Holding Companies Form	Modified
FRY9_20120315_83c.pdf Justification for No Material/Nonsubstantive Change	2012-03-15

IC Document Collections

IC ID	Document Title	Status
45881	Supplement to the Consolidated Financial Statements for Bank Holding Companies Instruction	Unchanged
45880	Financial Statements for Employee Stock Ownership Plan Bank Holding Companies Form	Unchanged
45879	Parent Company Only Financial Statements for Small Bank Holding Companies Form	Unchanged
45878	Parent Company Only Financial Statements for Large Bank Holding Companies Form	Unchanged
36158	Consolidated Financial Statements for Bank Holding Companies Form	Modified

ICR Details

OMB Control No: 7100-0128	ICR Reference No: 201201-7100-004
Status: Historical Active	Previous ICR Reference No: 201011-7100-011
Agency/Subagency: FRS	Agency Tracking No: FR Y-9
Title: Financial Statements for Bank Holding Companies
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Delegated
OIRA Conclusion Action: Approved without change	Conclusion Date: 03/15/2012
	Date Received in OIRA: 03/15/2012
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2014	03/31/2014	03/31/2014
Responses	18,523	0	18,635
Time Burden (Hours)	256,628	0	261,668
Cost Burden (Dollars)	0	0	0

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Abstract: The FR Y-9 family of reports historically has been, and continues to be, the primary source of financial information on BHCs between on-site inspections. Financial information from these reports is used to detect emerging financial problems, to review performance and conduct pre-inspection analysis, to monitor and evaluate capital adequacy, to evaluate BHC mergers and acquisitions, and to analyze a BHC's overall financial condition to ensure safe and sound operations.

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Authorizing Statute(s): US Code: 5 USC 552(b)(4) Name of Law: Freedom of Information Act
   US Code: 12 USC 1844(c) Name of Law: Bank Holding Company Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 67721	11/03/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 11474	03/02/2011
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 5

IC Title	Form No.	Form Name
Parent Company Only Financial Statements for Small Bank Holding Companies	FR Y-9SP	Parent Company Only Financial Statements for Small Bank Holding Companies
Financial Statements for Employee Stock Ownership Plan Bank Holding Companies	FR Y-9ES	Financial Statements for Employee Stock Ownership Plan Bank Holding Companies
Consolidated Financial Statements for Bank Holding Companies	FR Y-9C	Consolidated Financial Statements for Bank Holding Companies
Parent Company Only Financial Statements for Large Bank Holding Companies	FR Y-9LP	Parent Company Only Financial Statements for Large Bank Holding Companies
Supplement to the Consolidated Financial Statements for Bank Holding Companies	FR-Y9CS	Supplement to the Consolidated Financial Statements for Bank Holding Companies

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ICR Summary of Burden

	Total Approved	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	18,523	18,635	0	0	-112	0
Annual Time Burden (Hours)	256,628	261,668	0	0	-5,040	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: The decrease in burden hours reflects an update to the number of FR Y-9C respondents.

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Annual Cost to Federal Government: $1,961,549

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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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: 03/15/2012

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