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Federal forms, ICRs, and supporting documents

Information Collection Request

Reporting, Recordkeeping, and Disclosure Requirements Associated with Regulation VV (Proprietary Trading and Certain Interests in and Relationships with Covered Funds)

ICR 201404-7100-006 · OMB 7100-0360 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
RegVV_20140611_omb.pdf Supporting Statement A Uploaded 2014-06-11 Available
RegVV_20140131_ffr.pdf Supplementary Document Uploaded 2014-04-28 Available
RegVV_20120103_ifr.pdf Supplementary Document Uploaded 2014-04-28 Available
RegVV_20111107_ifr.pdf Supplementary Document Uploaded 2014-04-28 Available
IC Document Collections
IC IDCollectionTypeStatusForm
211445 Ongoing Disclosure - Section 248.11(a)(8)(i) New
211444 Ongoing Recordkeeping - Section 248.20(f)(2) New
211443 Ongoing Recordkeeping - Section 248.20(f)(1) New
211442 Ongoing Recordkeeping - Section 248.20(e) New
211441 Ongoing Recordkeeping - Section 248.20(d) ($10-$50 billion) New
211440 Ongoing Recordkeeping - Section 248.20(d) ($50 billion) New
211439 Ongoing Recordkeeping - Section 248.20(c) New
211438 Ongoing Recordkeeping - Section 248.20(b) New
211437 Ongoing Recordkeeping - Section 248.11(a)(2) New
211436 Ongoing Recordkeeping - Section 248.5(c) New
211435 Ongoing Recordkeeping - Section 248.4(b)(3)(i)(A) New
211434 Ongoing Recordkeeping - Section 248.3(d)(3) New
211433 Ongoing Reporting - Section 248.20(d) ($10-$50 billion) New
211432 Ongoing Reporting - Section 248.20(d) ($50 billion) New
211431 Ongoing Reporting - Section 248.12(e) New
211429 Initial Disclosure - Section 248.11(a)(8)(i) New
211428 Initial Recordkeeping - Section 248.20(f)(2) New
211427 Initial Recordkeeping - Section 248.20(f)(1) New
211426 Initial Recordkeeping - Section 248.20(e) New
211424 Initial Recordkeeping - Section 248.20(d) ($10-50 billion) New
211423 Initial Recordkeeping - Section 248.20(d) ($50 billion) New
211421 Initial Recordkeeping - Section 248.20(c) New
211420 Initial Recordkeeping - Section 248.20(b) New
211419 Initial Recordkeeping - Section 248.11(a)(2) New
211418 Initial Recordkeeping - Section 248.5(c) New
211417 Initial Recordkeeping - Section 248.4(b)(3)(i)(A) New
211416 Initial Recordkeeping - Section 248.3(d)(3) New
211415 Initial Reporting - Section 248.20(d) ($10-$50 Billion) New
211414 Initial Reporting - Section 248.20(d) ($50 billion) New
211407 Initial Reporting - Section 248.12(e) New
ICR Details
7100-0360 201404-7100-006
Historical Active
FRS Reg VV
Reporting, Recordkeeping, and Disclosure Requirements Associated with Regulation VV (Proprietary Trading and Certain Interests in and Relationships with Covered Funds)
New collection (Request for a new OMB Control Number)   No
Delegated
Approved without change 06/12/2014
Retrieve Notice of Action (NOA) 06/12/2014
  Inventory as of this Action Requested Previously Approved
06/30/2017 36 Months From Approved
387,871 0 0
2,336,190 0 0
0 0 0
The Federal Reserve, the Office of the Comptroller of the Currency (OCC), the Federal Deposit Insurance Corporation (FDIC), the Commodity Futures Trading Commission (CFTC), and the Securities and Exchange Commission (SEC) (collectively, the agencies) have adopted a final rule that would implement section 13 of the Bank Holding Company Act of 1956 (BHC Act), which was added by section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Section 13 contains certain prohibitions and restrictions on the ability of a banking entity supervised by the agencies to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund.
US Code: 12 USC 1851(e)(1) Name of Law: Bank Holding Company Act
   US Code: 5 USC 552(b)(4) Name of Law: Freedom of Information Act
   US Code: 12 USC 1851(b)(2) Name of Law: Bank Holding Company Act
   US Code: 5 USC 552(b)(8) Name of Law: Freedom of Information Act
  
PL: Pub.L. 111 - 203 124 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
7100-AD82 Final or interim final rulemaking 79 FR 5535 01/31/2014
  76 FR 68846 11/07/2011
79 FR 5535 01/31/2014
Yes
  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 387,871 0 387,871 0 0 0
Annual Time Burden (Hours) 2,336,190 0 2,336,190 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
$0
No
No
No
Yes
No
Uncollected
Mark Tokarski 202-452-5241 [email protected]
  No
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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
06/12/2014