Notice Claiming Status as an Exempt Transfer Agent

ICR 201606-7100-001

OMB: 7100-0137

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2016-06-29
IC Document Collections
IC ID
Document
Title
Status
36175
Modified
ICR Details
7100-0137 201606-7100-001
Historical Active 201305-7100-005
FRS FR 4013
Notice Claiming Status as an Exempt Transfer Agent
Extension without change of a currently approved collection   No
Delegated
Approved without change 06/29/2016
Retrieve Notice of Action (NOA) 06/29/2016
  Inventory as of this Action Requested Previously Approved
06/30/2019 36 Months From Approved 06/30/2016
10 0 10
20 0 20
0 0 0

Banks, bank holding companies (BHCs), savings and loan holding companies (SLHCs), and trust companies subject to the Board’s supervision that are low-volume transfer agents submit a notice to the Board certifying that they qualify for this exemption. Transfer agents are institutions that provide securities transfer, registration, monitoring, and other specified services on behalf of securities issuers. The purpose of the notice, which is effective until the agent withdraws it, is to claim exemption from certain rules and regulations of the Securities and Exchange Commission (SEC). The Board uses the notices for supervisory purposes because the SEC has assigned to the Board responsibility for collecting the notices and verifying their accuracy through examinations of the respondents.

US Code: 15 USC 78q-1 Name of Law: Securities Exchange Act
   US Code: 15 USC 78q-1(a)(2)(A)(i) Name of Law: Securities Exchange Act
   US Code: 15 USC 78q-1(d)(1) Name of Law: Securities Exchange Act
  
None

Not associated with rulemaking

  81 FR 20384 04/07/2016
81 FR 42357 06/29/2016
No

1
IC Title Form No. Form Name
Notice Claiming Status as an Exempt Transfer Agent

  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 10 10 0 0 0 0
Annual Time Burden (Hours) 20 20 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
No
No
No
Uncollected
Daniel Newman 202 973-7409 [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.
06/29/2016


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