Transfer Agent Registration and Amendment Form

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form TA-1 Transfer Agent Registration and Amendment Form	Form and Instruction	Modified	Available
spst0026 July 2010.doc	Supporting Statement A	Uploaded 2010-08-04	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
31769	Transfer Agent Registration and Amendment Form	Form and Instruction	Modified

ICR Details

OMB Control No: 3064-0026	ICR Reference No: 201307-3064-007
Status: Historical Inactive	Previous ICR Reference No: 201005-3064-008
Agency/Subagency: FDIC	Agency Tracking No:
Title: Transfer Agent Registration and Amendment Form
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Improperly submitted and continue	Conclusion Date: 07/25/2013
	Date Received in OIRA: 07/24/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2013	36 Months From Approved	09/30/2013
Responses	12	0	12
Time Burden (Hours)	5	0	5
Cost Burden (Dollars)	0	0	0

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Abstract: Any person acting as a transfer agent must register as such and amend the registration information when it changes. Registrations and amendments are considered collections of information under the Paperwork Reduction Act.

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Authorizing Statute(s): US Code: 15 USC 78q-1 Name of Law: Securities and 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:
	78 FR 26113	05/03/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 43275	07/19/2013
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	TA-1	Transfer Agent Registration and Amendment Form and Instructions

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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:

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]? No

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: 07/24/2013

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