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

Forms and Documents

Forms and supporting documents for this ICR

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 2010-05-25	Available

IC Document Collections

Information collection document groups

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: 201005-1557-001
Status: Historical Inactive	Previous ICR Reference No: 200702-1557-002
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Transfer Agent Registration and Amendment Form -- Form TA-1
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Withdrawn and continue	Conclusion Date: 07/01/2010
	Date Received in OIRA: 07/01/2010
Terms of Clearance: Agency mistakenly submitted incorrect Federal Register citation. Agency will resubmit collection with correct information.

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2010	07/31/2013	09/30/2010
Responses	13	0	13
Time Burden (Hours)	5	0	5
Cost Burden (Dollars)	0	0	0

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Abstract: This form is used by national banks and national bank subsidiaries for initial registration as a transfer agent and subsequent amendments to registration. 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:
	75 FR 22184	04/27/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 38175	07/01/2010
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

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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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:

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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]? No

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)? No

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: 07/01/2010

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