Rule 17Ac2-1, 17 CFR 240.17Ac2-1 (Transfer Agent Registration)

ICR 200610-3235-009

OMB: 3235-0084

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supplementary Document
2006-10-24
Supplementary Document
2006-10-24
Supporting Statement A
2006-10-24
IC Document Collections
ICR Details
3235-0084 200610-3235-009
Historical Inactive 200603-3235-019
SEC 270-95
Rule 17Ac2-1, 17 CFR 240.17Ac2-1 (Transfer Agent Registration)
Revision of a currently approved collection   No
Regular
Preapproved 12/29/2006
Retrieve Notice of Action (NOA) 10/24/2006
  Inventory as of this Action Requested Previously Approved
06/30/2009 12 Months From Approved 06/30/2009
519 0 100
2,076 0 150
103,800 0 0

Rule 17Ac2-1 requires that in order to register with the Commission as a transfer agent, a Form TA-1, Uniform Form for Registration as a Transfer Agent and for Amendment to Registration Pursuant to Section 17A of the Securities Exchange Act of 1934, must be filed with the Commission. Rule 17Ac2-1 also requires that registered transfer agents file an amended Form TA-1 if any of the information on the form becomes inaccurate, misleading, or incomplete within 60 days.

US Code: 15 USC 78q-1 Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78(a) Name of Law: Securities Exchange Act of 1934
  
None

3235-AJ68 Proposed rulemaking 71 FR 53494 09/11/2006

No

1
IC Title Form No. Form Name
Rule 17Ac2-1, 17 CFR 240.17Ac2-1 (Transfer Agent Registration) TA-2 Uniform Form for Registration as a Transfer Agent

  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 519 100 0 0 419 0
Annual Time Burden (Hours) 2,076 150 0 0 1,926 0
Annual Cost Burden (Dollars) 103,800 0 0 0 103,800 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected
Catherine Moore 202 551-5718 [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.
10/24/2006


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