Transfer Agent Registration and Amendment Form

Forms and Documents

Document	Type	Status	Availability
Form Form TA-1 Transfer Agent Registration Form	Form and Instruction	Modified	Repair queued
Form Form TA-1 Transfer Agent Amendment Form	Form and Instruction	Modified	Available
FormTA1_20170124_omb.pdf	Supporting Statement A	Uploaded 2017-01-24	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
36099	Transfer Agent Registration Form	Form and Instruction	Modified
179553	Transfer Agent Amendment Form	Form and Instruction	Modified

ICR Details

OMB Control No: 7100-0099	ICR Reference No: 201611-7100-003
Status: Historical Active	Previous ICR Reference No: 201307-7100-001
Agency/Subagency: FRS	Agency Tracking No: Form TA-1
Title: Transfer Agent Registration and Amendment Form
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Delegated
OIRA Conclusion Action: Approved without change	Conclusion Date: 01/24/2017
	Date Received in OIRA: 01/24/2017
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2019	12/31/2019	01/31/2017
Responses	6	0	6
Time Burden (Hours)	4	0	4
Cost Burden (Dollars)	0	0	0

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Abstract: The Securities Exchange Act of 1934 (the Act) requires any person acting as a transfer agent to register as such and to amend registration information when it changes. State member banks (SMBs) and their subsidiaries, bank holding companies (BHCs), savings and loan holding companies (SLHCs), and certain nondeposit trust company and other subsidiaries of BHCs that act as transfer agents must register with the Federal Reserve System by submitting Form TA-1. The information collected is available to the public upon request and includes the company name, all business addresses, and answers to three questions about the registrant’s proposed activities as a transfer agent. The Federal Reserve uses the information to act upon registration applications and to aid in performing its supervisory duties. Similar data are not available from any other source.

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Authorizing Statute(s): US Code: 15 USC 78c(a)(34)(B)(ii) Name of Law: Securites Exchange Act
   US Code: 15 USC 78w(a)(1) Name of Law: Securites Exchange Act
   US Code: 15 USC 78q(a)(3) Name of Law: Securites Exchange Act
   US Code: 15 USC 78q-1(c) Name of Law: Securites Exchange Act
  

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:
	81 FR 37665	06/10/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 79483	11/14/2016
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

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

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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	6	6	0	0	0	0
Annual Time Burden (Hours)	4	4	0	0	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: 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]? 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: 01/24/2017

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