Transfer Agent Registration and Amendment Form -- Form TA-1

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form TA-W Deregistrations	Form	Modified	Repair queued
TA-1 and TA-W Supporting Statement 3-16-21 330PM.docx	Supporting Statement A	Uploaded 2021-03-16	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
227115	Deregistrations	Form	Modified
222377	Amendments	Instruction	Modified
20033	Registrations	Instruction	Modified

ICR Details

OMB Control No: 1557-0124	ICR Reference No: 202010-1557-006
Status: Received in OIRA	Previous ICR Reference No: 201706-1557-003
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Transfer Agent Registration and Amendment Form -- Form TA-1
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: 03/22/2021

table that charts list comparision

	Requested	Previously Approved
Expiration Date	36 Months From Approved	04/30/2021
Responses	13	13
Time Burden (Hours)	4	4
Cost Burden (Dollars)	0	0

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Abstract: The TA-1 Form is used for initial registration as a transfer agent and subsequent amendments to registration. The OCC uses the information to determine whether to allow, deny, accelerate, or postpone an application. The OCC also uses the data to more effectively schedule and plan transfer agent examinations. When a national bank or federal savings association no longer acts as a transfer agent for covered corporate securities or when the national bank or federal savings association is no longer supervised by the OCC, i.e. liquidates or converts to another form of financial institution, the bank or savings association must file form TA-W with the OCC, requesting withdrawal from registration as a transfer agent.

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Authorizing Statute(s): US Code: 15 USC 78q-1(c), 78q(a)(3), 78w(a) 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:
	86 FR 2739	01/13/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 15287	03/22/2021
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 3

table that charts list of burden

IC Title	Form No.	Form Name
Amendments	TA-1	Transfer Agent Registration and Amendment Form
Deregistrations	TA-W	NOTICE OF WITHDRAWAL FROM REGISTRATION AS A TRANSFER AGENT
Registrations	FFIEC TA-1, TA-W	Transfer Agent Registration and Amendment Form ,   NOTICE OF WITHDRAWAL FROM REGISTRATION AS A TRANSFER AGENT

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ICR Summary of Burden

table that charts list 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	13	13	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

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.     No

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? 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: 03/22/2021

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