Regulatory Authority (12 CFR 341.5)

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FDIC Rules and Regulations

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(e) The term "Form TA-I" means the form and any attachments to that form, whether
filed as a registration or an amendment to a registration.

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(f) The term ;;registrant" means the entity on whose behalf Form TA-I is fied.

(g) The acronym "SEC" means the Securities and Exchange Commission.
(h) The term "insured nonmembu bank" means a bank whose deposits are insured by
the Federal Deposit Insurance Corporation and that is not a member of the Federal Reserve
System.
(i) The term "qualifying securities" means:
(1) Securities registered on a national securities exchange;

(2) Securities issued by a company or bank with 500 or more shareholders and $1

million or more in total assets, except for securities exempted from registration with the

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SEC by section 12(g)(2) (C, D, E, F and H) of the Act.
¡Codifed to 12 C.F.R. § 341.2)

§ 341.3 Registration as securities transfer agent.
(a) Requirement for registration. Any insured nonmember bank which performs any of
the functions of a transfer agent as described in § 341.2(a) with respect to qualifying

securities shall register with the FDIC in the manner indicated in this section.
(b) Application to register as transfer agent. An application for registration under
section 17 A( c) of the Act, of a transfer agent for which the FDIC is the appropriate

regulatory agency, as defined in section 3(a)(34)(B)(iii) of the Act, shall be filed with the
FDIC at its Washington, D.C. headquarters on Fonn TA-1, in accordance with the

instructions contained therein.
(c) Effective date of registration. Registration shall become effective 30 days after the

date an application on Fonn TA- i is filed unless the FDIC accelerates, denies, or postpones
such registration in accordance with section 17 A(c) of the Act. The effective date of such

registration may be postponed by order for a period not to exceed 15 days. Postponement
of registration for more than 15 days shall be after notice and opportunity for hearing.

Form TA- 1 is available upon request from the Review Unit, Division of Supervision, FDIC,

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Washington, D.C. 20429.

¡Codifed to 12 C.FR. §341.3)

¡Section 341.3 amended at 60 Fed. Reg. 31384, June 15, 1995, effective June 18, 1995)

§ 341.4 Amendments to registration.
(a) Within 60 calendar days following the date on which any information reported on

Form TA-I becomes inaccurate, misleading or incomplete, the registrant shall file an
amendment on Fonn TA-I correcting the inaccurate, misleadibg or incomplete infonnation.

(b) The filing of an amendment to an application for registration as a transfer agent
under § 341.3, which registration has not become effective, shall postpone the effective date
of the registration for 30 days following the date on which the amendment is fied unless

the FDIC accelerates, denies, or postpones the registration in accordance with section
17 A(c) of the Act.

¡Codified to 12 C.F.R. §341.4)
¡Section 341.4 amended at 52 Fed. Reg. 1182, January 12, 1987)

§ 341.5 Withdrawal from registration.
(a) Notice of withdrawal from registration. Any transfer agent registered under this
par that ceases to engage in the functions of a transfer agent as defined in § 341.2(a) shall

registration. "";-

fie a written notice of withdrawal from registration with the FDIC. A registered transfer
agent that ceases to engage in one or more of the functions of transfer agent as defined in
§ 34L.2(a), but continues to engage in another such function, shall not withdraw from
(b) A notice of withdrawal shall be fied with the FDIC at its Washington, D.C.

headquarters. Deregistration shall be effective upon receipt of notice of withdrawal by the

FDIC Rules and Regs, § 341.2

Federal Deposit Insurance Corporation

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FDIC. A Request for Deregistrtion form is available from the Review Unit, Divisior of
Supervision, FDIC, Washington, D.C. 20429.
(c) If the FDIC finds that any registered transfer agent for which it is the ARA, is no

longer in existence or has ceased to do business as a transfer agent, FDIC shall cancel or
deny the registration by order of the Board of Directors.

(d) Registration of a trasfer agent with another ARA shall cancel registrtion of the
transfer agent with FDIC.

¡Codifed to 12 CF.R. § 341.5)
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¡Section 341.5 amended at 60 Fed. Reg. 31384, June 15, 1995, effective June 18, 1995)
§ 341.6 Reports.

Every registration or amendment fied under this section shall constitute a "report" or
"application" within the meaning or sections 17, 17A(c), and 32(a) of the Act.
¡Codifed to 12 CF.R. § 341.6)
§ 341.7 Delegation of authority.

(a) Except as provided in paragraph (b) of this section, authority is delegated to the

Director and Deputy Director (OOS) and, where confirmed in writing by the Director, to an
associate director and the appropriate regional director and deputy regional director, to act
on disclosure matters under and pursuant to sections 17 and 17 A of the Securities Exchange

Act of 1934 (15 U.S.c. 78).
(b) Authority to act on disclosure matters is retained by the Board of Directors when

such matters involve exemption from registration requirements pursuant to section 17A(c)(l)
of the Securities Exchange Act of 1934 (15 U.S.c. 78q-1(c)(1)).
¡Codifed to 12 CF.R. § 341.7)

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¡Section 341.7 added at 63 Fed. Reg. 44750, August 20, 1998, effective October 1, 1998)

FORMTA-l

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TRANSFER AGENT REGISTRATION AND AMENDMENT FORM

DISCLOSURE OF ESTIMATED REPORTING BURDEN
Public reporting for this collection of information is estimated to average 1.25 hour per
registration, and 10 minutes per updating amendment, including the time for reviewing
instructions, searhing existing data sources, gathering and maintaining the data needed, and

completing and reviewing the collection of information. Send commeiIts regarding this
burden estimate or any other aspect of this collection of information, including suggestions
for reducing this burden, to:
Secretar, Board of Governors of the Federal Reserve System, Washington, DC
20551; or

Assistant Executive Secretar (Regulatory Analysis), FDIC, Room F-402, Washing-

ton, DC 20429; or
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Legislative and Regulatory Analysis Division, Offce of the Comptroller of the

Currency, Washington, DC 202 i 9;
and to the Office of Management and Budget, ATT: Paperwork Reduction Project
(7l00-009, 1557-0124, 3064-(026), Washington, DC 20503.

INSTRUCTIONS FOR USE

GENERAL: Fonn TA-I is to be used to register or amend registration as a trnsfer
agent with the Comptroller of the Currency, the Boar of Governors of the Federal Reserve
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System, or the Federal Deposit Insurance Corpration pursuant tó Section 17A of the
Securities Exchange Act of 1934.
Federa Depoit Insurance Corpration

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FDIC Rules and Regs, Part 341