Reporting, Recordkeeping, and Disclosure Requirements Associated with Regulation Q

Forms and Documents

Document Name	Status
FRQ_20200323_omb.pdf Supporting Statement A	2021-09-27

IC Document Collections

IC ID	Document Title	Status
246134	Risk-based Capital Surcharge for GSIBs - Recordkeeping Sections 217.402 and 217.403	Unchanged
246133	Transition Provisions - Reporting Sections 217.303(b) and (g)	Removed
246132	Advanced Approach - Disclosure Section 217.173 Table 13	Unchanged
236575	Advanced Approach - Disclosure Section 217.173 Tables 2, 3, 4, 5, 9, and 12	Unchanged
236574	Advanced Approach - Disclosure Sections 217.142 and 217.172	Unchanged
228046	Advanced Approach - Recordkeeping Sections 217.132(d)(3)(viii) and 217.141(c)(2)(i)-(ii)	Unchanged
222112	Advanced Approach - Recordkeeping Sections 217.121(b), 217.122, 217.132(d)(3)(ix), and 217.132(d)(3)(xi)	Unchanged
210475	Advanced Approach - Reporting Sections 217.123, 217.124, 217.132(b)(2)(iii)(A), 217.132(b)(3), 217.132(d)(1), 217.132(d)(1)(iii), and 217.132(d)(2)(iv)	Unchanged
210474	Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63	Unchanged
210473	Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), and 217.41(c)(2)(ii)	Unchanged
210472	Minimum Capital Ratios - Recordkeeping Section 217.3(d)	Unchanged
210470	Advanced Approach - Disclosure Section 217.173 Tables 2, 3, 4, 5, 9, and 12 (Initial Setup)	Unchanged
210469	Advanced Approach - Recordkeeping Sections 217.132(d)(3)(vi), 217.132(d)(3)(viii), 217.132(d)(3)(ix), 217.132(d)(3)(x), 217.132(d)(3)(xi), 217.141(b)(3), 217.141(c)(1), 217.141(c)(2)(i (Initial Setup)	Unchanged
210468	Advanced Approach - Reporting Sections 217.132(b)(2)(iii)(A) and 217.132(d)(2)(iv) (Initial Setup)	Unchanged
210467	Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63 (Initial Setup)	Unchanged
210466	Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), 217.41(b)(3), and 217.41(c)(2)(i) (Initial Setup)	Unchanged

ICR Details

OMB Control No: 7100-0313	ICR Reference No: 202109-7100-005
Status: Active	Previous ICR Reference No: 202008-7100-005
Agency/Subagency: FRS	Agency Tracking No: FR Q
Title: Reporting, Recordkeeping, and Disclosure Requirements Associated with Regulation Q
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Delegated
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/27/2021
	Date Received in OIRA: 09/27/2021
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2023	03/31/2023	09/30/2021
Responses	3,297	0	3,309
Time Burden (Hours)	81,309	0	81,381
Cost Burden (Dollars)	0	0	0

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Abstract: The Board’s Regulation Q - Capital Adequacy of Bank Holding Companies, Savings and Loan Holding Companies, and State Member Banks (12 CFR Part 217) sets forth the capital adequacy requirements for state member banks (SMBs), BHCs, U.S. intermediate holding companies (IHCs), and covered savings and loan holding companies (SLHCs) (collectively, Board-regulated institutions).

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Authorizing Statute(s): US Code: 12 USC 1831o(c) Name of Law: Federal Deposit Insurance Act
   US Code: 12 USC 3907(a)(1) Name of Law: International Lending Supervision Act of 1983
   US Code: 12 USC 324 Name of Law: Federal Reserve Act
   US Code: 12 USC 1844(c) Name of Law: Bank Holding Company Act of 1956
  

Citations for New Statutory Requirements: PL: Pub.L. 115 - 174 132 Name of Law: Economic Growth, Regulatory Relief, and Consumer Protection Act

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
7100-AF21	Final or interim final rulemaking	84 FR 59230	11/01/2019

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 66024	12/21/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 24296	05/24/2019
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 15

IC Title	Form No.	Form Name
Advanced Approach - Disclosure Section 217.173 Table 13
Advanced Approach - Disclosure Section 217.173 Tables 2, 3, 4, 5, 9, and 12
Advanced Approach - Disclosure Section 217.173 Tables 2, 3, 4, 5, 9, and 12 (Initial Setup)
Advanced Approach - Disclosure Sections 217.142 and 217.172
Advanced Approach - Recordkeeping Sections 217.121(b), 217.122, 217.132(d)(3)(ix), and 217.132(d)(3)(xi)
Advanced Approach - Recordkeeping Sections 217.132(d)(3)(vi), 217.132(d)(3)(viii), 217.132(d)(3)(ix), 217.132(d)(3)(x), 217.132(d)(3)(xi), 217.141(b)(3), 217.141(c)(1), 217.141(c)(2)(i (Initial Setup)
Advanced Approach - Recordkeeping Sections 217.132(d)(3)(viii) and 217.141(c)(2)(i)-(ii)
Advanced Approach - Reporting Sections 217.123, 217.124, 217.132(b)(2)(iii)(A), 217.132(b)(3), 217.132(d)(1), 217.132(d)(1)(iii), and 217.132(d)(2)(iv)
Advanced Approach - Reporting Sections 217.132(b)(2)(iii)(A) and 217.132(d)(2)(iv) (Initial Setup)
Minimum Capital Ratios - Recordkeeping Section 217.3(d)
Risk-based Capital Surcharge for GSIBs - Recordkeeping Sections 217.402 and 217.403
Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63
Standardized Approach - Disclosure Sections 217.42(e)(2), 217.62, and 217.63 (Initial Setup)
Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), 217.41(b)(3), and 217.41(c)(2)(i) (Initial Setup)
Standardized Approach - Recordkeeping Sections 217.35(b)(3)(i)(A), 217.37(c)(4)(i)(E), and 217.41(c)(2)(ii)
Transition Provisions - Reporting Sections 217.303(b) and (g)

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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	3,297	3,309	0	0	-12	0
Annual Time Burden (Hours)	81,309	81,381	0	0	-72	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:

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Annual Cost to Federal Government: $0

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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? No

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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: 09/27/2021

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