OMB Control No:
3064-0153
ICR Reference No:
202309-3064-001
Status:
Received in OIRA
Previous ICR Reference No:
202306-3064-008
Agency/Subagency:
FDIC
Agency Tracking No:
3064-0153
Title:
Reporting, Recordkeeping, and Disclosure Requirements Associated with Regulatory Capital Rules
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
Date Submitted to OIRA:
09/18/2023
Requested
Previously Approved
Expiration Date 36 Months From Approved
08/31/2026
Responses 24,507
15,253
Time Burden (Hours) 118,392
93,621
Cost Burden (Dollars) 0
0
Abstract:
This collection comprises the reporting, disclosure, and recordkeeping requirements associated with minimum capital requirements and overall capital adequacy standards for insured state nonmember banks, state savings associations, and certain subsidiaries of those entities. The data is used by the FDIC to evaluate capital before approving various applications by insured depository institutions, to evaluate capital as an essential component in determining safety and soundness, and to determine whether an institution is subject to prompt corrective action provisions.
Authorizing Statute(s):
US Code:
12 USC 1831o
Name of Law: Federal Deposit Insurance Act
Citations for New Statutory Requirements:
PL: Pub.L. 111 - 203 1435-38 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
Associated Rulemaking Information
RIN: Stage of Rulemaking: Federal Register Citation: Date:
3064-AF29
Proposed rulemaking
88 FR 64028
09/18/2023
Federal Register Notices & Comments
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
31
IC Title
Form No.
Form Name
(CR) -- Section _.173, Table 5: One-time
(CR) -- Section_.173, Table 5: Ongoing
(CR) --Section_.173, Table 13: Ongoing
(CT) -- Section _.37(c)(4)(i)(E): Ongoing
(Capital Adequacy) -- Section _.173, Table 3: One-time
(Capital Adequacy) -- Section_.173, Table 3: Ongoing
Adjusted Derivative Amount: Prior Approval Regarding Supervisory Delta Adjustment Section _.113(i)(3)(ii)(C): Ongoing
Cleared Transactions: Cleared Transaction with a QCCP Risk Weights Section _.35(b)(3)(i)(A): One-time
Cleared Transactions: Cleared Transaction with a QCCP Risk Weights Section _.35(b)(3)(i)(A): Ongoing
Cleared Transactions: Documentation of Legal Review Regarding Risk Weight Section _.114(b)(3)(i)(A): Ongoing
Cleared Transactions: Prior Approval Regarding Exposure Amount of a QCCP to a Clearing Member Section _.114(d)(6)(vi): Ongoing
Collateralized Transactions: Internal Estimates for Haircuts Section _.37(c)(4)(i)(E): One-time
Collateralized Transactions: Internal Estimates for Haircuts Section _.37(c)(4)(i)(E): Ongoing
Collateralized Transactions: Internal Estimates for Haircuts Section _.37(c)(4)(i)(E): Ongoing
Collateralized Transactions: Maintain Written Documentation for Transactions Subject to the Minimum Haircut Floors Section _.121(d)(2)(ii)(C): Ongoing
Counterparty Credit Risk Operational Requirements -- Legal Opinion -- Section _.3(d): Ongoing
Credit Risk _.62(a),(b), & (c), Quantitative and Qualitative Disclosures _.63(a) & (b) & _.63 Tables: Ongoing
Derivative Contracts: Exposure Amount Methodology Section _.34(a)(1)(ii): Ongoing
Disclosure - Section _.20(c)(1)(xiv), (d)(1)(xi): Ongoing
Disclosure Policy Section _.161(b) Ongoing
Disclosures - Section _.162 (Tables 1-14): One-Time
Disclosures - Section _.162 (Tables 1-14): Ongoing
Guarantees and Credit Derivatives_Substitution Approach: Documentation of Legal Review of Adjustment for Credit Derivatives Without Restructuring as a Credit Event Section _.120(e)(1): One-time
Guarantees and Credit Derivatives_Substitution Approach: Documentation of Legal Review of Adjustment for Credit Derivatives Without Restructuring as a Credit Event Section _.120(e)(1): Ongoing
Operational Criteria for Recognizing the Transfer of Risk - Updating Analysis for Each Securitization Exposure Section _.130(c)(2)(ii) Ongoing
Operational Criteria for Recognizing the Transfer of Risk: Documentation of Analysis of Risk of Securitization Exposure -- Section _.130(c)(2)(i)-(ii): One-time
Operational Criteria for Recognizing the Transfer of Risk: Legal Opinion Section _.130(b)(3): Ongoing
Operational Requirements for Securitization Exp.: Doc. Analysis of Oper. Criteria, Section _.41(c)(2)(ii): Ongoing
Operational Requirements for Securitization Exp.: Legal Opinion Re Oper. Criteria for Synthetic Securitizations, Section _.41(b)(3) Doc. Analysis of Oper. Criteria, Section _.41(c)(2)(i): One-Time
Operational Risk Capital - Operational Risk Management and Operational Loss Event Data Collection Processes Documentation Section _.150(f)(1)-(2): One-time
Operational Risk Capital - Operational Risk Management and Operational Loss Event Data Collection Processes Documentation, Section _.150(f)(1)-(2): Ongoing
Operational Risk Capital: Prior Approval of Business Indicator Exclusions Section _.150(d)(5): Ongoing
Operational Risk Capital: Prior Approval of Operational Loss Events Exclusion Section _.150(e)(3)(i)-(ii): Ongoing
Regulatory Capital Adjustments and Deductions -- Prior Approval -- Section_.22(h)(2)(iii)(A) Ongoing
Regulatory Capital Adjustments and Deductions -- Prior Approval -- Sections_.22(c)(5)(i), (c)(6), (d)(2)(i)(C) Ongoing
Regulatory Capital Adjustments and Deductions -- Prior Approval â Section _.22(h)(2)(iii)(A): Ongoing
Regulatory Capital Adjustments and Deductions -- Prior Approval â Sections _.22(b)(2)(iv), (c)(4), (c)(5)(i), (c)(6), (d)(2)(i)(C), (d)(2)(iii): Ongoing
Risk-Weighted Assets for Sec. Exposures: Implicit Support _.42(e)(2), Credit Risk _.62(a),(b), & (c), Quantitative and Qualitative Disclosures _.63(a) & (b) & _.63 Tables: One-time
Risk-Weighted Assets for Sec. Exposures: Implicit Support _.42(e)(2): Ongoing
Section _.153(b): One-time
Section_.124(a): Ongoing
ICR Summary of Burden
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
24,507
15,253
0
0
9,254
0
Annual Time Burden (Hours)
118,392
93,621
0
0
24,771
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:
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]?
Yes
Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)?
No
Is this ICR related to the Pandemic Response?
Yes
Agency Contact:
Jennifer Jones 202 551-5776 [email protected]
SPST-0153 Regulatory Capital Rules - Endgame NPR - 9-18-2023.pdf
Guarantees and Credit Derivatives_Substitution Approach: Documentation of Legal Review of Adjustment for Credit Derivatives Without Restructuring as a Credit Event Section _.120(e)(1): One-time