Transfer Agent Registration and Amendment Form -- Form TA-1

Forms and Documents

Document	Type	Status	Availability
Form TA-1 Transfer Agent Registration and Amendment Form -- Form TA-1	Form and Instruction	Modified	Available
1557-0124.doc	Supporting Statement A	Uploaded 2007-06-20	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
20033	Transfer Agent Registration and Amendment Form -- Form TA-1	Form and Instruction	Modified

ICR Details

OMB Control No: 1557-0124	ICR Reference No: 200702-1557-002
Status: Historical Active	Previous ICR Reference No: 200410-1557-001
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Transfer Agent Registration and Amendment Form -- Form TA-1
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/14/2007
	Date Received in OIRA: 07/03/2007
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2010	36 Months From Approved	11/30/2007
Responses	13	0	60
Time Burden (Hours)	5	0	30
Cost Burden (Dollars)	0	0	0

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Abstract: This form is used by national banks and national bank subsidiarie for registration and amendment to registration as a transfer agent. The OCC uses the information to determine whether to allow, deny, accelerate, or postpone an application. The OCC also uses the data more effectively scheduled and plan transfer agent examinations.

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Authorizing Statute(s): US Code: 15 USC 78q-1(c), 78q(a)(3), 78w(a) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 17222	04/06/2007
30-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 36545	07/02/2007
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Transfer Agent Registration and Amendment Form -- Form TA-1	TA-1	Registered Transfer Agents Form TA-1

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ICR Summary of Burden

	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	13	60	0	-47	0	0
Annual Time Burden (Hours)	5	30	0	-25	0	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: Yes

Burden Reduction Due to: Cutting Redundancy

Short Statement: The burden reduction was achieved through requiring only the completion of items that are inaccurate, incomplete or misleading. In addition, the burden attributable to the TA-W (withdrawal) form is deleted due to the fact that it is covered by the Securities & Exchange Commission's collection under OMB No. 3235-0151.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 07/03/2007

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