Rule 17Ac3-1(a) (17 CFR 240.17Ac3-1(a)) and Form TA-W- Withdrawal from Registration with the Commission as a Transfer Agent. (17 CFR 240.17Ac3-1(a))

Forms and Documents

Document	Type	Status	Availability
Form SEC1669 Form TA-W	Form and Instruction	Modified	Repair queued
3235-0151 60 Day Notice.pdf	Supplementary Document	Uploaded 2020-11-17	Repair queued
3235-0151 60 Day Notice.pdf	Supplementary Document	Uploaded 2020-11-17	Repair queued
DGL FINAL REVISED 2020 17Ac3-1(a) and Form TA-W supporting statement 2020 (004).pdf	Supporting Statement A	Uploaded 2020-08-31	Repair queued
EDGAR PIA_Redacted.pdf	Supplementary Document	Uploaded 2014-04-24	Repair queued

IC Document Collections

IC ID	Collection	Type	Status	Form
34446	Form TA-W	Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0151	ICR Reference No: 202008-3235-002
Status: Received in OIRA	Previous ICR Reference No: 201704-3235-006
Agency/Subagency: SEC	Agency Tracking No: TM-270-096
Title: Rule 17Ac3-1(a) (17 CFR 240.17Ac3-1(a)) and Form TA-W- Withdrawal from Registration with the Commission as a Transfer Agent. (17 CFR 240.17Ac3-1(a))
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 11/17/2020

	Requested	Previously Approved
Expiration Date	36 Months From Approved	01/31/2021
Responses	58	17
Time Burden (Hours)	29	9
Cost Burden (Dollars)	0	340

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Abstract: Rule 17Ac3-1 sets forth the procedure for transfer agents to withdraw their registration with the Commission by filing a Notice of Withdrawal on Form TA-W electronically through the Commission's EDGAR (Electronic Data Gathering, Analysis, and Retrieval system).

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Authorizing Statute(s): US Code: 15 USC 78b, 78q, 78q-1, 78w(a) Name of Law: Sections 2, 17, 17A, and 23(a) the 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:
	85 FR 55544	09/08/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 73332	11/17/2020
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Form TA-W	SEC1669	Form T-AW

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ICR Summary of Burden

	Total Request	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	58	17	0	0	41	0
Annual Time Burden (Hours)	29	9	0	0	20	0
Annual Cost Burden (Dollars)	0	340	0	0	-340	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 increase in the hour burden from 9 hours to 29 hours is due to a change in agency estimates, reflecting that, on average, more respondents have filed Form TA-Ws than previously estimated. The decrease in the cost burden from $340 to $0 is due to the fact that, from 2017-2020, we estimate that all filings were done by internal staff and that no outside filing agents were used.

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Annual Cost to Federal Government: $0

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.     Yes

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? No

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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: 11/17/2020

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