OMB.report

Federal forms, ICRs, and supporting documents

Information Collection Request

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

ICR 201604-3064-003 · OMB 3064-0184 · Historical Active

Forms and Documents
DocumentTypeStatusAvailability
FR2-0184 Volcker Rule 82 FR 19716 April 28 2016.pdf Supplementary Document Uploaded 2017-04-28 Available
SPST-0184 Volcker Rule Restrictions on Proprietary Trading 2017 Extension.doc Supporting Statement A Uploaded 2017-04-24 Available
FR1-0184 Volcker Rule Restrictions on Proprietary Trading 82 FR 3315 January 11 2017.pdf Supplementary Document Uploaded 2017-04-24 Repair queued
IC Document Collections
IC IDCollectionTypeStatusForm
209745 Simplified compliance program for entities with modest activities (ongoing) Modified
209744 Simplified compliance program for entities with modest activities (initial set-up) Modified
209742 Simplified compliance program for less active entities (ongoing) Modified
209740 Simplified compliance program for less active entities (initial set-up) Modified
209739 Program for compliance additional documentation for covered funds (ongoing) Modified
209738 Program for compliance additional documentation for covered funds (initial set-up) Modified
209737 Underwriting/market-making trading desk documentation (ongoing) Modified
209736 Underwriting/market-making trading desk documentation (initial set-up) Modified
209735 Proprietary trading liquidity management plan (ongoing) Modified
209734 Proprietary trading liquidity management plan (initial set-up) Modified
199700 Covered fund disclosures (ongoing) Modified
199698 Covered fund disclosures (initial setup) Modified
199695 Compliance program (ongoing) Modified
199694 Compliance program (initial setup) Modified
199691 Documentation of plan to provide advisory services via covered fund with bona fide trust (ongoing) Modified
199690 Documentation of plan to provide advisory services via covered fund with bona fide trust provision (initial setup) Modified
199689 Application to extend time to divest ownership interest in a covered fund (ongoing) Modified
199688 Application to extend time to divest ownership interest in covered fund (initial set-up) Modified
ICR Details
3064-0184 201604-3064-003
Historical Active 201312-3064-002
FDIC
Volcker Rule Restrictions on Proprietary Trading and Relationships with Hedge Funds and Private Equity Funds
Extension without change of a currently approved collection   No
Regular
Approved without change 07/31/2017
Retrieve Notice of Action (NOA) 04/28/2017
  Inventory as of this Action Requested Previously Approved
07/31/2020 36 Months From Approved 07/31/2017
1,640 0 3,335
14,763 0 28,234
0 0 0
Section 619 of the Wall Street Reform and Consumer Protection Act added a new section 13 to the Bank Holding Company Act. Section 13 of the Bank Holding Company Act contains certain prohibitions and restrictions on the ability of banking entities to engage in proprietary trading and restricts the ability of banking entities to hold certain investments in, and have certain relationships with, hedge funds and private equity funds. This information collection includes certain reporting, recordkeeping and disclosure requirements contained in the implementing rule for section 13.
PL: Pub.L. 111 - 203 619 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
  
PL: Pub.L. 111 - 203 619 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
Not associated with rulemaking
  82 FR 3315 01/11/2017
82 FR 19716 04/28/2017
No
  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 1,640 3,335 0 0 -1,695 0
Annual Time Burden (Hours) 14,763 28,234 0 0 -13,471 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
No
No
No
Yes
No
Uncollected
Manuel Cabeza 202 898-3781 [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.
04/28/2017