Agency Information Collection Activities: Announcement of Board Approval Under Delegated Authority and Submission to OMB, 24745-24747 [2013-09878]

Download as PDF Federal Register / Vol. 78, No. 81 / Friday, April 26, 2013 / Notices reporting and/or recordkeeping requirements. There is a slight increase adjustment in the burden estimates for the total hours and annual costs. This is due to four additional small business auction winners (respondents). This rule section requires each MTA licensee in the 896–901/935–940 MHz band must, three years from the date of license grant, construct and place into operation a sufficient number of base stations to provide coverage to at least one-third of the population of the MTA. Further, each MTA licensee must provide coverage to at least two-thirds of the population of the MTA five years from the date of license grant. Alternatively, a MTA licensee must demonstrate, through a showing to the Commission five years from the date of license grant, that it is providing substantial service. The MTA licensee must also demonstrate that other substantial service benchmarks will be met. Federal Communications Commission. Marlene H. Dortch, Secretary, Office of the Secretary, Office of Managing Director. [FR Doc. 2013–09893 Filed 4–25–13; 8:45 am] BILLING CODE 6712–01–P FEDERAL COMMUNICATIONS COMMISSION Information Collection Being Reviewed by the Federal Communications Commission Federal Communications Commission. ACTION: Notice; request for comments. AGENCY: As part of its continuing effort to reduce paperwork burden and as required by the Paperwork Reduction Act (PRA) of 1995 (44 U.S.C. 3501– 3520), the Federal Communications Commission invites the general public and other Federal agencies to take this opportunity to comment on the following information collection(s). Comments are requested concerning: whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; the accuracy of the Commission’s burden estimate; ways to enhance the quality, utility, and clarity of the information collected; ways to minimize the burden of the collection of information on the respondents, including the use of automated collection techniques or other forms of information technology; and ways to further reduce the information burden erowe on DSK2VPTVN1PROD with NOTICES SUMMARY: VerDate Mar<15>2010 17:39 Apr 25, 2013 Jkt 229001 for small business concerns with fewer than 25 employees. The FCC may not conduct or sponsor a collection of information unless it displays a currently valid OMB control number. No person shall be subject to any penalty for failing to comply with a collection of information subject to the Paperwork Reduction Act (PRA) that does not display a valid OMB control number. Written Paperwork Reduction Act (PRA) comments should be submitted on or before June 25, 2013. If you anticipate that you will be submitting PRA comments, but find it difficult to do so within the period of time allowed by this notice, you should advise the FCC contact listed below as soon as possible. ADDRESSES: For information regarding this information collection, contact Judith B. Herman, Federal Communications Commission, via the Internet at Judith-b.herman@fcc.gov. To submit your PRA comments by email send them to: PRA@fcc.gov. FOR FURTHER INFORMATION CONTACT: Judith B. Herman, Office of Managing Director, (202) 418–0214. SUPPLEMENTARY INFORMATION: OMB Control Number: 3060–0799. Title: FCC Ownership Disclosure Information for the Wireless Telecommunications Bureau. Form Number: FCC Form 602. Type of Review: Extension of a currently approved collection. Respondents: Business or other forprofit, not-for-profit institutions and state, local or tribal government. Number of Respondents and Responses: 4,115 respondents; 5,215 responses. Estimated Time per Response: 1.5 hours. Frequency of Response: On occasion reporting requirements and third party disclosure requirements. Obligation to Respond: Required to obtain or retain benefits. Statutory authority for this information collection is contained in 47 U.S.C. sections 4(i), 303(g) and 303(r) of the Communications Act of 1934, as amended. Total Annual Burden: 5,215 hours. Total Annual Cost: $508,200. Privacy Act Impact Assessment: N/A. Nature and Extent of Confidentiality: In general there is no need for confidentiality. On a case by case basis, the Commission may be required to withhold from disclosure certain information about the location, character, or ownership of a historic property, including traditional religious sites. DATES: PO 00000 Frm 00033 Fmt 4703 Sfmt 4703 24745 Needs and Uses: The purpose of the FCC Form 602 is to obtain the identity of the filer and to elicit information required by 47 CFR 1.2112 of the Commission’s rules regarding: (1) Persons or entities holding a 10 percent or greater direct or indirect ownership interest or any general partner in a general partnership holding a direct or indirect ownership interest in the applicant (‘‘Disclosable Interest Holders’’); and (2) All FCC-regulated entities in which the filer or any of its Disclosable Interest Holders owns a 10 percent or greater interest. The data collected on the FCC Form 602 includes the FCC Registration Number (FRN), which serves as a ‘‘common link’’ for all filings an entity has with the FCC. The Debt Collection Act of 1996 requires that entities filing with the Commission use a FRN. The FCC Form 602 was designed for, and must be filed electronically by all licensees that hold licenses in auctionable services. Federal Communications Commission. Marlene H. Dortch, Secretary, Office of the Secretary, Office of Managing Director. [FR Doc. 2013–09892 Filed 4–25–13; 8:45 am] BILLING CODE 6712–01–P FEDERAL RESERVE SYSTEM Agency Information Collection Activities: Announcement of Board Approval Under Delegated Authority and Submission to OMB Board of Governors of the Federal Reserve System. SUMMARY: Background. Notice is hereby given of the final approval of proposed information collections by the Board of Governors of the Federal Reserve System (Board) under OMB delegated authority, as per 5 CFR 1320.16 (OMB Regulations on Controlling Paperwork Burdens on the Public). Board-approved collections of information are incorporated into the official OMB inventory of currently approved collections of information. Copies of the Paperwork Reduction Act Submission, supporting statements and approved collection of information instruments are placed into OMB’s public docket files. The Federal Reserve may not conduct or sponsor, and the respondent is not required to respond to, an information collection that has been extended, revised, or implemented on or after October 1, 1995, unless it displays a currently valid OMB control number. AGENCY: E:\FR\FM\26APN1.SGM 26APN1 24746 Federal Register / Vol. 78, No. 81 / Friday, April 26, 2013 / Notices erowe on DSK2VPTVN1PROD with NOTICES FOR FURTHER INFORMATION CONTACT: Federal Reserve Board Clearance Officer, Cynthia Ayouch, Division of Research and Statistics, Board of Governors of the Federal Reserve System, Washington, DC 20551 (202) 452–3829. Telecommunications Device for the Deaf (TDD) users may contact (202) 263–4869, Board of Governors of the Federal Reserve System, Washington, DC 20551. OMB Desk Officer, Shagufta Ahmed, Office of Information and Regulatory Affairs, Office of Management and Budget, New Executive Office Building, Room 10235, 725 17th Street NW.,Washington, DC 20503. Final approval under OMB delegated authority of the extension for three years, with minor revision, of the following report: Report title: Uniform Application for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer; Uniform Termination Notice for Municipal Securities Principal or Municipal Securities Representative Associated with a Bank Municipal Securities Dealer. Agency form number: FR MSD–4; FR MSD–5. OMB control number: 7100–0100; 7100–0101. Frequency: On occasion. Reporters: State member banks, bank holding companies, and foreign dealer banks that are municipal securities dealers. Estimated annual reporting hours: FR MSD–4, 20 hours; FR MSD–5, 13 hours. Estimated average hours per response: FR MSD–4, 1 hour; FR MSD–5, 0.25 hours. Number of respondents: FR MSD–4, 20; FR MSD–5, 50. General description of report: These information collections are mandatory pursuant to the Federal Reserve Act (12 U.S.C. 248(a)(1)) for state member banks and (12 U.S.C. 3105(c)(2)) for foreign bank branches and agencies. Sections 15B(a)–(b) and 17 of the Securities Exchange Act (the Act) (15 U.S.C. 78o– 4(a)–(b) and 78q) authorize the Securities Exchange Commission (SEC) and Municipal Securities Rulemaking Board (MSRB) to promulgate rules requiring municipal security dealers to file reports about associated persons with the SEC and the appropriate regulatory agencies (ARAs). In addition, Section 15B(c) of the Act provides that ARAs may enforce compliance with the SEC’s and MSRB’s rules. 15 U.S.C. 78o– 4(c). Section 23(a) of the Act also authorizes the SEC, the Federal Reserve Board, and the other ARAs to make VerDate Mar<15>2010 14:46 Apr 25, 2013 Jkt 229001 rules and regulations in order to implement the provisions of the Act. 15 U.S.C. 78w(a). The Federal Reserve Board is the ARA for municipal securities dealers that are state member banks and their divisions or departments, and for state branches or agencies of foreign banks that engage in municipal security dealer activities. 15 U.S.C. 78c(a)(34)(A)(ii). Accordingly, the Federal Reserve Board’s collection of Form MSD–4 and MSD–5 for these institutions is authorized pursuant to 15 U.S.C. 78o–4, 78q, and 78w. Under the Freedom of Information Act, the Federal Reserve Board regards the information provided by each respondent as confidential (5 U.S.C. 552(b)(6)). Abstract: These mandatory information collections are submitted on occasion by state member banks (SMBs), bank holding companies (BHCs), and foreign dealer banks that are municipal securities dealers. The FR MSD 4 collects information (such as personal history and professional qualifications) on an employee whom the bank wishes to assume the duties of municipal securities principal or representative. The FR MSD 5 collects the date of, and reason for, termination of such an employee. Current Actions: On February 11, 2013, the Federal Reserve published a notice in the Federal Register (78 FR 9691) requesting public comment for 60 days on the extension, with minor revision, of the FR MSD–4 and the extension, without revision, of the FR MSD–5. The comment period for this notice expired on April 12, 2013. The Federal Reserve did not receive any comments. The revision will be implemented as proposed. Final approval under OMB delegated authority of the extension for three years, without revision, of the following reports: 1. Report title: Written Security Program for State Member Banks. Agency form number: FR 4004. OMB control number: 7100–0112. Frequency: On occasion. Reporters: State member banks. Estimated annual reporting hours: 22 hours. Estimated average hours per response: 0.5 hours. Number of respondents: 44. General description of report: This recordkeeping requirement is mandatory pursuant to section 3 of the Bank Protection Act (12 U.S.C. 1882(a)) and Regulation H (12 CFR 208.61). Because written security programs are maintained at state member banks, no issue of confidentiality under the Freedom of Information Act normally arises. However, copies of such PO 00000 Frm 00034 Fmt 4703 Sfmt 4703 documents included in examination work papers would, in such form, be confidential pursuant to exemption 8 of the Freedom of Information Act (5 U.S.C. 552(b)(8)). In addition, the records may also be exempt from disclosure under exemption 4 of the Freedom of Information Act (5 U.S.C. 552(b)(4)). Abstract: Each state member bank must develop and implement a written security program and maintain it in the bank’s records. There is no formal reporting form and the information is not submitted to the Federal Reserve. Current Actions: February 11, 2013, the Federal Reserve published a notice in the Federal Register (78 FR 9691) requesting public comment for 60 days on the extension, without revision, of the FR 4004. The comment period for this notice expired on April 12, 2013. The Federal Reserve did not receive any comments. 2. Report title: Notice By Financial Institutions of Government Securities Broker or Government Securities Dealer Activities; Notice By Financial Institutions of Termination of Activities as a Government Securities Broker or Government Securities Dealer. Agency form number: FR G–FIN; FR G–FINW. OMB control number: 7100–0224. Frequency: On occasion. Reporters: State member banks, foreign banks, uninsured state branches or state agencies of foreign banks, commercial lending companies owned or controlled by foreign banks, and Edge corporations. Estimated annual reporting hours: 5 hours. Estimated average hours per response: FR G–FIN, 1 hour; FR G–FINW, 0.25 hour. Number of respondents: FR G–FIN, 4; FR G–FINW, 2. General description of report: These information collections are mandatory pursuant to the Securities and Exchange Act of 1934 (15 U.S.C. 78o–5(a)(1)(B)) which requires a financial institution that is a broker or dealer of government securities dealer to notify the ARA that it is a government securities broker or a government securities dealer, or that it has ceased to act as such. In addition, 15 U.S.C. 78o–5(b)(1) directs the Treasury to adopt rules requiring every government securities broker and government securities dealer to collect information and to provide reports to the applicable ARA, and 15 U.S.C. 78o– 5(c)(2)(B) authorizes ARAs to enforce compliance with the Treasury’s rules. The Federal Reserve Board is an ARA. 15 U.S.C. 78c(a)(34)(G)(ii). Respondents file two copies of the notices directly E:\FR\FM\26APN1.SGM 26APN1 erowe on DSK2VPTVN1PROD with NOTICES Federal Register / Vol. 78, No. 81 / Friday, April 26, 2013 / Notices with the Federal Reserve Board. Under the statute, the Federal Reserve Board forwards one copy to the SEC, and the notices are then made public by the SEC. 15 U.S.C. 78o–5(a)(l)(B)(iii). While the statute only requires the SEC to produce the notices to the public, the notices are also available to the public upon request made to the Federal Reserve Board. Accordingly, the Federal Reserve Board does not consider these data to be confidential. Abstract: The Government Securities Act of 1986 (the Act) requires financial institutions to notify their ARA of their intent to engage in government securities broker or dealer activity, to amend information submitted previously, and to record their termination of such activity. The Federal Reserve is the ARA for state member banks, foreign banks, uninsured state branches or state agencies of foreign banks, commercial lending companies owned or controlled by foreign banks, and Edge corporations. The Federal Reserve uses the information in its supervisory capacity to measure compliance with the Act. Current Actions: February 11, 2013, the Federal Reserve published a notice in the Federal Register (78 FR 9691) requesting public comment for 60 days on the extension, without revision, of the FR G–FIN and FR G–FINW. The comment period for this notice expired on April 12, 2013. The Federal Reserve did not receive any comments. 3. Report title: Funding and Liquidity Risk Management Guidance. Agency form number: FR 4198. OMB control number: 7100–0326. Frequency: Funding and liquidity risk management guidance, Annually; Liquidity risk reports, monthly. Reporters: Bank holding companies, state member banks, branches and agencies of foreign banking organizations, Edge and agreement corporations, and savings and loan holding companies. Estimated annual reporting hours: Funding and liquidity risk management guidance, Large institutions, 25,920 hours; mid-sized institutions, 28,080 hours; small institutions, 520,720 hours; Liquidity risk reports, 317,520 hours. Estimated average hours per response: Funding and liquidity risk management guidance, large institutions, 720 hours; mid-sized institutions, 240 hours; small institutions, 80 hours; Liquidity risk reports, 4 hours. Number of respondents: Funding and liquidity risk management guidance, Large institutions, 36; mid-sized institutions, 117; small institutions, 6,509; Liquidity risk reports, 6,615. VerDate Mar<15>2010 14:46 Apr 25, 2013 Jkt 229001 General description of report: The Guidance is mandatory based on the following relevant statutory provisions. • Section 9(6) of the Federal Reserve Act (12 U.S.C. 324) requires state member banks to make reports of condition to their supervising Reserve Bank in such form and containing such information as the Board may require. • Section 5(c) of the Bank Holding Company Act (12 U.S.C. 1844(c)) requires a BHC and any subsidiary to keep the Board informed as to its financial condition, and systems for monitoring and controlling financial and operating risks. • Section 7(c)(2) of the International Banking Act of 1978 (12 U.S.C. 3105(c)(2)) requires branches and agencies of foreign banking organizations to file reports of condition with the Federal Reserve to the same extent and in the same manner as if the branch or agency were a state member bank. • Section 25A of the Federal Reserve Act (12 U.S.C. 625) requires Edge and agreement corporations to make reports to the Board at such time and in such form as it may require. • Section 312 of the Dodd-Frank Act (12 U.S.C. 5412) succeeded to the Board all powers of the OTS and its Director, including the Director’s authority to require SLHCs to ‘‘maintain such books and records as may be prescribed by the Director.’’ The original source for the authority of the OTS Director to examine S&Ls and SLHCs is contained in 12 U.S.C. 1467a(b)(3) of the Home Owners’ Loan Act. Because the records required by the Guidance are maintained at the institution, issues of confidentiality would not normally arise. Should the documents be obtained during the course of an examination, such information may be withheld from the public under the authority of the Freedom of Information Act, 5 U.S.C. 552 (b)(8). In addition, some or all of the information may be ‘‘commercial or financial information’’ protected from disclosure under 5 U.S.C. 552(b)(4). Abstract: The Guidance summarizes the principles of sound liquidity risk management that the Office of the Comptroller of the Currency, the Federal Reserve, the Federal Deposit Insurance Corporation, and the National Credit Union Administration (the agencies), have issued in the past and, where appropriate, brings them into conformance with the ‘‘Principles for Sound Liquidity Risk Management and Supervision’’ issued by the Basel Committee on Banking Supervision (BCBS) in September 2008. While the BCBS liquidity principles primarily PO 00000 Frm 00035 Fmt 4703 Sfmt 4703 24747 focuses on large internationally active financial institutions, the Guidance emphasizes supervisory expectations for all domestic financial institutions including banks, thrifts and credit unions. Two sections of the Guidance that fall under the definition of an information collection. Section 14 states that institutions should consider liquidity costs, benefits, and risks in strategic planning and budgeting processes. Section 20 requires that liquidity risk reports provide aggregate information with sufficient supporting detail to enable management to assess the sensitivity of the institution to changes in market conditions, its own financial performance, and other important risk factors. Current Actions: February 11, 2013, the Federal Reserve published a notice in the Federal Register (78 FR 9691) requesting public comment for 60 days on the extension, without revision, of the FR 4198. The comment period for this notice expired on April 12, 2013. The Federal Reserve did not receive any comments. Board of Governors of the Federal Reserve System, April 23, 2013. Robert deV. Frierson, Secretary of the Board. [FR Doc. 2013–09878 Filed 4–25–13; 8:45 am] BILLING CODE 6210–01–P FEDERAL RESERVE SYSTEM Change in Bank Control Notices; Acquisitions of Shares of a Bank or Bank Holding Company The notificants listed below have applied under the Change in Bank Control Act (12 U.S.C. 1817(j)) and § 225.41 of the Board’s Regulation Y (12 CFR 225.41) to acquire shares of a bank or bank holding company. The factors that are considered in acting on the notices are set forth in paragraph 7 of the Act (12 U.S.C. 1817(j)(7)). The notices are available for immediate inspection at the Federal Reserve Bank indicated. The notices also will be available for inspection at the offices of the Board of Governors. Interested persons may express their views in writing to the Reserve Bank indicated for that notice or to the offices of the Board of Governors. Comments must be received not later than May 13, 2013. A. Federal Reserve Bank of St. Louis (Yvonne Sparks, Community Development Officer) P.O. Box 442, St. Louis, Missouri 63166–2034: 1. Christopher C. Reid, Owensboro, Kentucky, acting individually and in E:\FR\FM\26APN1.SGM 26APN1

Agencies

[Federal Register Volume 78, Number 81 (Friday, April 26, 2013)]
[Notices]
[Pages 24745-24747]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-09878]


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FEDERAL RESERVE SYSTEM


Agency Information Collection Activities: Announcement of Board 
Approval Under Delegated Authority and Submission to OMB

AGENCY: Board of Governors of the Federal Reserve System.

SUMMARY: Background. Notice is hereby given of the final approval of 
proposed information collections by the Board of Governors of the 
Federal Reserve System (Board) under OMB delegated authority, as per 5 
CFR 1320.16 (OMB Regulations on Controlling Paperwork Burdens on the 
Public). Board-approved collections of information are incorporated 
into the official OMB inventory of currently approved collections of 
information. Copies of the Paperwork Reduction Act Submission, 
supporting statements and approved collection of information 
instruments are placed into OMB's public docket files. The Federal 
Reserve may not conduct or sponsor, and the respondent is not required 
to respond to, an information collection that has been extended, 
revised, or implemented on or after October 1, 1995, unless it displays 
a currently valid OMB control number.

[[Page 24746]]


FOR FURTHER INFORMATION CONTACT:  Federal Reserve Board Clearance 
Officer, Cynthia Ayouch, Division of Research and Statistics, Board of 
Governors of the Federal Reserve System, Washington, DC 20551 (202) 
452-3829.
    Telecommunications Device for the Deaf (TDD) users may contact 
(202) 263-4869, Board of Governors of the Federal Reserve System, 
Washington, DC 20551.
    OMB Desk Officer, Shagufta Ahmed, Office of Information and 
Regulatory Affairs, Office of Management and Budget, New Executive 
Office Building, Room 10235, 725 17th Street NW.,Washington, DC 20503.
    Final approval under OMB delegated authority of the extension for 
three years, with minor revision, of the following report:
    Report title: Uniform Application for Municipal Securities 
Principal or Municipal Securities Representative Associated with a Bank 
Municipal Securities Dealer; Uniform Termination Notice for Municipal 
Securities Principal or Municipal Securities Representative Associated 
with a Bank Municipal Securities Dealer.
    Agency form number: FR MSD-4; FR MSD-5.
    OMB control number: 7100-0100; 7100-0101.
    Frequency: On occasion.
    Reporters: State member banks, bank holding companies, and foreign 
dealer banks that are municipal securities dealers.
    Estimated annual reporting hours: FR MSD-4, 20 hours; FR MSD-5, 13 
hours.
    Estimated average hours per response: FR MSD-4, 1 hour; FR MSD-5, 
0.25 hours.
    Number of respondents: FR MSD-4, 20; FR MSD-5, 50.
    General description of report: These information collections are 
mandatory pursuant to the Federal Reserve Act (12 U.S.C. 248(a)(1)) for 
state member banks and (12 U.S.C. 3105(c)(2)) for foreign bank branches 
and agencies. Sections 15B(a)-(b) and 17 of the Securities Exchange Act 
(the Act) (15 U.S.C. 78o-4(a)-(b) and 78q) authorize the Securities 
Exchange Commission (SEC) and Municipal Securities Rulemaking Board 
(MSRB) to promulgate rules requiring municipal security dealers to file 
reports about associated persons with the SEC and the appropriate 
regulatory agencies (ARAs). In addition, Section 15B(c) of the Act 
provides that ARAs may enforce compliance with the SEC's and MSRB's 
rules. 15 U.S.C. 78o-4(c). Section 23(a) of the Act also authorizes the 
SEC, the Federal Reserve Board, and the other ARAs to make rules and 
regulations in order to implement the provisions of the Act. 15 U.S.C. 
78w(a). The Federal Reserve Board is the ARA for municipal securities 
dealers that are state member banks and their divisions or departments, 
and for state branches or agencies of foreign banks that engage in 
municipal security dealer activities. 15 U.S.C. 78c(a)(34)(A)(ii). 
Accordingly, the Federal Reserve Board's collection of Form MSD-4 and 
MSD-5 for these institutions is authorized pursuant to 15 U.S.C. 78o-4, 
78q, and 78w. Under the Freedom of Information Act, the Federal Reserve 
Board regards the information provided by each respondent as 
confidential (5 U.S.C. 552(b)(6)).
    Abstract: These mandatory information collections are submitted on 
occasion by state member banks (SMBs), bank holding companies (BHCs), 
and foreign dealer banks that are municipal securities dealers. The FR 
MSD 4 collects information (such as personal history and professional 
qualifications) on an employee whom the bank wishes to assume the 
duties of municipal securities principal or representative. The FR MSD 
5 collects the date of, and reason for, termination of such an 
employee.
    Current Actions: On February 11, 2013, the Federal Reserve 
published a notice in the Federal Register (78 FR 9691) requesting 
public comment for 60 days on the extension, with minor revision, of 
the FR MSD-4 and the extension, without revision, of the FR MSD-5. The 
comment period for this notice expired on April 12, 2013. The Federal 
Reserve did not receive any comments. The revision will be implemented 
as proposed.
    Final approval under OMB delegated authority of the extension for 
three years, without revision, of the following reports:
    1. Report title: Written Security Program for State Member Banks.
    Agency form number: FR 4004.
    OMB control number: 7100-0112.
    Frequency: On occasion.
    Reporters: State member banks.
    Estimated annual reporting hours: 22 hours.
    Estimated average hours per response: 0.5 hours.
    Number of respondents: 44.
    General description of report: This recordkeeping requirement is 
mandatory pursuant to section 3 of the Bank Protection Act (12 U.S.C. 
1882(a)) and Regulation H (12 CFR 208.61). Because written security 
programs are maintained at state member banks, no issue of 
confidentiality under the Freedom of Information Act normally arises. 
However, copies of such documents included in examination work papers 
would, in such form, be confidential pursuant to exemption 8 of the 
Freedom of Information Act (5 U.S.C. 552(b)(8)). In addition, the 
records may also be exempt from disclosure under exemption 4 of the 
Freedom of Information Act (5 U.S.C. 552(b)(4)).
    Abstract: Each state member bank must develop and implement a 
written security program and maintain it in the bank's records. There 
is no formal reporting form and the information is not submitted to the 
Federal Reserve.
    Current Actions: February 11, 2013, the Federal Reserve published a 
notice in the Federal Register (78 FR 9691) requesting public comment 
for 60 days on the extension, without revision, of the FR 4004. The 
comment period for this notice expired on April 12, 2013. The Federal 
Reserve did not receive any comments.
    2. Report title: Notice By Financial Institutions of Government 
Securities Broker or Government Securities Dealer Activities; Notice By 
Financial Institutions of Termination of Activities as a Government 
Securities Broker or Government Securities Dealer.
    Agency form number: FR G-FIN; FR G-FINW.
    OMB control number: 7100-0224.
    Frequency: On occasion.
    Reporters: State member banks, foreign banks, uninsured state 
branches or state agencies of foreign banks, commercial lending 
companies owned or controlled by foreign banks, and Edge corporations.
    Estimated annual reporting hours: 5 hours.
    Estimated average hours per response: FR G-FIN, 1 hour; FR G-FINW, 
0.25 hour.
    Number of respondents: FR G-FIN, 4; FR G-FINW, 2.
    General description of report: These information collections are 
mandatory pursuant to the Securities and Exchange Act of 1934 (15 
U.S.C. 78o-5(a)(1)(B)) which requires a financial institution that is a 
broker or dealer of government securities dealer to notify the ARA that 
it is a government securities broker or a government securities dealer, 
or that it has ceased to act as such. In addition, 15 U.S.C. 78o-
5(b)(1) directs the Treasury to adopt rules requiring every government 
securities broker and government securities dealer to collect 
information and to provide reports to the applicable ARA, and 15 U.S.C. 
78o-5(c)(2)(B) authorizes ARAs to enforce compliance with the 
Treasury's rules. The Federal Reserve Board is an ARA. 15 U.S.C. 
78c(a)(34)(G)(ii). Respondents file two copies of the notices directly

[[Page 24747]]

with the Federal Reserve Board. Under the statute, the Federal Reserve 
Board forwards one copy to the SEC, and the notices are then made 
public by the SEC. 15 U.S.C. 78o-5(a)(l)(B)(iii). While the statute 
only requires the SEC to produce the notices to the public, the notices 
are also available to the public upon request made to the Federal 
Reserve Board. Accordingly, the Federal Reserve Board does not consider 
these data to be confidential.
    Abstract: The Government Securities Act of 1986 (the Act) requires 
financial institutions to notify their ARA of their intent to engage in 
government securities broker or dealer activity, to amend information 
submitted previously, and to record their termination of such activity. 
The Federal Reserve is the ARA for state member banks, foreign banks, 
uninsured state branches or state agencies of foreign banks, commercial 
lending companies owned or controlled by foreign banks, and Edge 
corporations. The Federal Reserve uses the information in its 
supervisory capacity to measure compliance with the Act.
    Current Actions: February 11, 2013, the Federal Reserve published a 
notice in the Federal Register (78 FR 9691) requesting public comment 
for 60 days on the extension, without revision, of the FR G-FIN and FR 
G-FINW. The comment period for this notice expired on April 12, 2013. 
The Federal Reserve did not receive any comments.
    3. Report title: Funding and Liquidity Risk Management Guidance.
    Agency form number: FR 4198.
    OMB control number: 7100-0326.
    Frequency: Funding and liquidity risk management guidance, 
Annually; Liquidity risk reports, monthly.
    Reporters: Bank holding companies, state member banks, branches and 
agencies of foreign banking organizations, Edge and agreement 
corporations, and savings and loan holding companies.
    Estimated annual reporting hours: Funding and liquidity risk 
management guidance, Large institutions, 25,920 hours; mid-sized 
institutions, 28,080 hours; small institutions, 520,720 hours; 
Liquidity risk reports, 317,520 hours.
    Estimated average hours per response: Funding and liquidity risk 
management guidance, large institutions, 720 hours; mid-sized 
institutions, 240 hours; small institutions, 80 hours; Liquidity risk 
reports, 4 hours.
    Number of respondents: Funding and liquidity risk management 
guidance, Large institutions, 36; mid-sized institutions, 117; small 
institutions, 6,509; Liquidity risk reports, 6,615.
    General description of report: The Guidance is mandatory based on 
the following relevant statutory provisions.
     Section 9(6) of the Federal Reserve Act (12 U.S.C. 324) 
requires state member banks to make reports of condition to their 
supervising Reserve Bank in such form and containing such information 
as the Board may require.
     Section 5(c) of the Bank Holding Company Act (12 U.S.C. 
1844(c)) requires a BHC and any subsidiary to keep the Board informed 
as to its financial condition, and systems for monitoring and 
controlling financial and operating risks.
     Section 7(c)(2) of the International Banking Act of 1978 
(12 U.S.C. 3105(c)(2)) requires branches and agencies of foreign 
banking organizations to file reports of condition with the Federal 
Reserve to the same extent and in the same manner as if the branch or 
agency were a state member bank.
     Section 25A of the Federal Reserve Act (12 U.S.C. 625) 
requires Edge and agreement corporations to make reports to the Board 
at such time and in such form as it may require.
     Section 312 of the Dodd-Frank Act (12 U.S.C. 5412) 
succeeded to the Board all powers of the OTS and its Director, 
including the Director's authority to require SLHCs to ``maintain such 
books and records as may be prescribed by the Director.'' The original 
source for the authority of the OTS Director to examine S&Ls and SLHCs 
is contained in 12 U.S.C. 1467a(b)(3) of the Home Owners' Loan Act.
    Because the records required by the Guidance are maintained at the 
institution, issues of confidentiality would not normally arise. Should 
the documents be obtained during the course of an examination, such 
information may be withheld from the public under the authority of the 
Freedom of Information Act, 5 U.S.C. 552 (b)(8). In addition, some or 
all of the information may be ``commercial or financial information'' 
protected from disclosure under 5 U.S.C. 552(b)(4).
    Abstract: The Guidance summarizes the principles of sound liquidity 
risk management that the Office of the Comptroller of the Currency, the 
Federal Reserve, the Federal Deposit Insurance Corporation, and the 
National Credit Union Administration (the agencies), have issued in the 
past and, where appropriate, brings them into conformance with the 
``Principles for Sound Liquidity Risk Management and Supervision'' 
issued by the Basel Committee on Banking Supervision (BCBS) in 
September 2008. While the BCBS liquidity principles primarily focuses 
on large internationally active financial institutions, the Guidance 
emphasizes supervisory expectations for all domestic financial 
institutions including banks, thrifts and credit unions.
    Two sections of the Guidance that fall under the definition of an 
information collection. Section 14 states that institutions should 
consider liquidity costs, benefits, and risks in strategic planning and 
budgeting processes. Section 20 requires that liquidity risk reports 
provide aggregate information with sufficient supporting detail to 
enable management to assess the sensitivity of the institution to 
changes in market conditions, its own financial performance, and other 
important risk factors.
    Current Actions: February 11, 2013, the Federal Reserve published a 
notice in the Federal Register (78 FR 9691) requesting public comment 
for 60 days on the extension, without revision, of the FR 4198. The 
comment period for this notice expired on April 12, 2013. The Federal 
Reserve did not receive any comments.

    Board of Governors of the Federal Reserve System, April 23, 
2013.
Robert deV. Frierson,
Secretary of the Board.
[FR Doc. 2013-09878 Filed 4-25-13; 8:45 am]
BILLING CODE 6210-01-P