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 201806-3064-001 · OMB 3064-0184 · Historical Inactive

Forms and Documents
DocumentTypeStatusAvailability
SPST-0184 Volcker 2.0 Revisions NPR July 2018.doc Supporting Statement A Uploaded 2018-07-18 Available
IC Document Collections
IC IDCollectionTypeStatusForm
232262 351.20(c) CEO Attestation (Ongoing) New
232261 351.20(c) CEO Attestation (Implementation) New
232260 351.20(d) Compliance Program Recordkeeping (over $50 billion)(Ongoing) New
232259 351.20(d) Compliance Program Recordkeeping ($10 to $50 billion)(Implementation) New
232258 351.20(d) Compliance Program Recordkeeping (over $50 billion)(Ongoing) New
232257 351.20(d) Compliance Program Recordkeeping (over $50 billion)(Implementation) New
232255 351.20(d) Compliance Program ($10 tor $50 billion)(Ongoing) New
232253 351.20(d) Compliance Program ($10 to $50 billion)(Implementation) New
232252 351.20(d) Compliance Program (over $50 billion)(Ongoing) New
232251 351.20(d) Compliance Program (over $50 billion)(Implementation) New
232249 351.5(c) List of Pre-Approved Financial Instruments (Ongoing) New
232248 351.5(c) List of Pre-Approved Financial Instruments (Implementation) New
232247 351.3(g) Response to Determination that Transaction is for Trading Account (Ongoing) New
232246 351.3(g) Response to Determination that Transaction is for Trading Account (Implementation) New
232245 351.3(c) Notification of Trading Activity in Excess of $25 Million (Ongoing) New
232243 351.3(c) Notification of Trading Activity in Excess of $25 Million (Implementation) New
209745 351.20(f)(2) Simplified compliance program for entities with modest activities (Ongoing) Modified
209744 351.20(f)(2) Simplified compliance program for entities with modest activities (Implementation) Modified
209742 351.20(f)(1) Simplified compliance program for less active entities (Ongoing) Modified
209740 351.20(f)(1) Simplified compliance program for less active entities (Implementation) Modified
209739 351.20(e) Program for compliance additional documentation for covered funds (Ongoing) Modified
209738 351.20(e) Program for compliance additional documentation for covered funds (Implementation) Modified
209737 351.4(b)(3)(i)(A) Underwriting/market-making trading desk documentation (Ongoing) Modified
209736 351.4(b)(3)(i)(A) Underwriting/market-making trading desk documentation (Implementation) Modified
209735 351.3(d)(3) Proprietary trading liquidity management plan (Ongoing) Modified
209734 351.3(d)(3) Proprietary trading liquidity management plan (Implementation) Modified
199700 351.11(a)(8)(i) Covered fund disclosures (Ongoing) Modified
199698 351.11(a)(8)(i) Covered fund disclosures (Implementation) Modified
199695 351.20(b) Compliance program (Ongoing) Modified
199694 351.20(b) Compliance program (Implementation) Modified
199691 351.11(a)(2) Documentation of plan to provide advisory services via covered fund with bona fide trust (Ongoing) Modified
199690 351.11(a)(2) Documentation of plan to provide advisory services via covered fund with bona fide trust provision (Implementation) Modified
199689 351.12(e) Application to extend time to divest ownership interest in a covered fund (Ongoing) Modified
199688 351.12 (e) Application to extend time to divest ownership interest in covered fund (Implemntation) Modified
ICR Details
3064-0184 201806-3064-001
Historical Inactive 201604-3064-003
FDIC
Volcker Rule Restrictions on Proprietary Trading and Relationships with Hedge Funds and Private Equity Funds
Revision of a currently approved collection   No
Regular
Preapproved 09/06/2018
Retrieve Notice of Action (NOA) 07/18/2018
  Inventory as of this Action Requested Previously Approved
09/30/2021 36 Months From Approved 07/31/2020
727 0 1,640
10,635 0 14,763
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
3064-AE67 Proposed rulemaking 83 FR 33432 07/17/2018
No
34
IC Title Form No. Form Name
351.3(c) Notification of Trading Activity in Excess of $25 Million (Ongoing)
351.3(g) Response to Determination that Transaction is for Trading Account (Ongoing)
351.20(c) CEO Attestation (Implementation)
351.20(c) CEO Attestation (Ongoing)
351.5(c) List of Pre-Approved Financial Instruments (Implementation)
351.5(c) List of Pre-Approved Financial Instruments (Ongoing)
351.20(d) Compliance Program (over $50 billion)(Ongoing)
351.20(d) Compliance Program ($10 to $50 billion)(Implementation)
351.20(d) Compliance Program ($10 tor $50 billion)(Ongoing)
351.20(d) Compliance Program Recordkeeping (over $50 billion)(Implementation)
351.20(d) Compliance Program Recordkeeping (over $50 billion)(Ongoing)
351.20(d) Compliance Program Recordkeeping ($10 to $50 billion)(Implementation)
351.20(e) Program for compliance additional documentation for covered funds (Implementation)
351.20(e) Program for compliance additional documentation for covered funds (Ongoing)
351.20(f)(1) Simplified compliance program for less active entities (Implementation)
351.20(f)(1) Simplified compliance program for less active entities (Ongoing)
351.20(f)(2) Simplified compliance program for entities with modest activities (Implementation)
351.4(b)(3)(i)(A) Underwriting/market-making trading desk documentation (Implementation)
351.3(d)(3) Proprietary trading liquidity management plan (Ongoing)
351.3(d)(3) Proprietary trading liquidity management plan (Implementation)
351.4(b)(3)(i)(A) Underwriting/market-making trading desk documentation (Ongoing)
351.20(f)(2) Simplified compliance program for entities with modest activities (Ongoing)
351.12(e) Application to extend time to divest ownership interest in a covered fund (Ongoing)
351.11(a)(2) Documentation of plan to provide advisory services via covered fund with bona fide trust provision (Implementation)
351.11(a)(8)(i) Covered fund disclosures (Ongoing)
351.11(a)(2) Documentation of plan to provide advisory services via covered fund with bona fide trust (Ongoing)
351.20(b) Compliance program (Implementation)
351.11(a)(8)(i) Covered fund disclosures (Implementation)
351.12 (e) Application to extend time to divest ownership interest in covered fund (Implemntation)
351.20(b) Compliance program (Ongoing)
351.3(g) Response to Determination that Transaction is for Trading Account (Implementation)
351.20(d) Compliance Program (over $50 billion)(Implementation)
351.20(d) Compliance Program Recordkeeping (over $50 billion)(Ongoing)
351.3(c) Notification of Trading Activity in Excess of $25 Million (Implementation)
  Total Request 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 727 1,640 0 0 -913 0
Annual Time Burden (Hours) 10,635 14,763 0 0 -4,128 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
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.
07/18/2018