Rule 17Ac2-1, 17 CFR 240.17Ac2-1 and Form TA-1 (Transfer Agent Registration)

Forms and Documents

Document Name	Status
Form SEC 1528 Form TA-1 Form and Instruction	Modified
EDGAR PIA 2016.pdf Supplementary Document	2018-07-26
17Ac2-1 Supporting Statement.pdf Supporting Statement A	2018-07-26

IC Document Collections

IC ID	Document Title	Status
34328	Form TA-1 Form and Instruction	Modified
200188	Rule 17Ac2-1, 17 CFR 240.17Ac2-1 (Transfer Agent Registration) New Registrants	Modified

ICR Details

OMB Control No: 3235-0084	ICR Reference No: 201801-3235-010
Status: Active	Previous ICR Reference No: 201411-3235-002
Agency/Subagency: SEC	Agency Tracking No: TM-270-095
Title: Rule 17Ac2-1, 17 CFR 240.17Ac2-1 and Form TA-1 (Transfer Agent Registration)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 11/08/2018
	Date Received in OIRA: 07/26/2018
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	11/30/2021	36 Months From Approved	11/30/2018
Responses	186	0	174
Time Burden (Hours)	363	0	366
Cost Burden (Dollars)	0	0	2,400

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Abstract: Rule 17Ac2-1 requires transfer agents for whom the Commission is the appropriate regulatory agency to file an application for registration on Form TA-1 and to amend Form TA-1 if information has become inaccurate, misleading, or incomplete. Form TA-1 requires transfer agents to provide basic information about their business including contact information, control persons, agency relationships and disciplinary history.

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Authorizing Statute(s): US Code: 15 USC 78(a) Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78q-1 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:
	83 FR 9054	03/05/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 22303	05/14/2018
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
Form TA-1	SEC 1528	Form TA-1
Rule 17Ac2-1, 17 CFR 240.17Ac2-1 (Transfer Agent Registration) New Registrants

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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	186	174	0	0	12	0
Annual Time Burden (Hours)	363	366	0	0	-3	0
Annual Cost Burden (Dollars)	0	2,400	0	0	-2,400	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: The MS InfoPath software has been discontinued and the Commission has moved to a purely electronic Form TA-1 submission on EDGAR, resulting in the decrease in the start-up cost burden to respondents from $2,400 to $0. The total annual reporting burden has increased from 366 to 363 hours per year. Factors involved in this change include a decrease in the number of new applications for registration on Form TA-1, an increase in the number of amendments filed to Form TA-1 filings.

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Annual Cost to Federal Government: $100,000

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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: 07/26/2018

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