Reporting Requirements for Transfer Agents

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form TA-1 Transfer Agetn Registration and Amendment Form	Form and Instruction	Modified	Available
Form TA-1 Transfer Agent Amendment Form	Form and Instruction	Modified	Missing upstream
Form 6342-12 TA-W Transfer Agent De-Registration	Form and Instruction	New	Available
Form 6342-12 TA-W Transfer Agent Deregistration	Form and Instruction	New	Missing upstream
SPST-0026 Reporting Requirements for Transfer Agents 2023 Renewal - FINAL.docx	Supporting Statement A	Uploaded 2023-01-13	Repair queued
FR2-0026 Reporting Requirements for Transfer Agents 87 FR 63495 Oct 19 2022.pdf	Supplementary Document	Uploaded 2023-01-12	Repair queued
FR1 0026 Reporting Requirements for Transfer Agents 87 FR 51415 August 22 2022.pdf	Supplementary Document	Uploaded 2023-01-12	Missing upstream

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
31769	Transfer Agent Amendment Form	Form and Instruction	Modified	Transfer Agetn Registration and Amendment Form
31769	Transfer Agent Amendment Form	Form and Instruction	Modified
257548	Transfer Agent Deregistration	Form and Instruction	New	Transfer Agent De-Registration
257548	Transfer Agent Deregistration	Form and Instruction	New
238946	Transfer Agent Initial Registration		Modified

ICR Details

OMB Control No: 3064-0026	ICR Reference No: 202208-3064-001
Status: Historical Active	Previous ICR Reference No: 201911-3064-003
Agency/Subagency: FDIC	Agency Tracking No:
Title: Reporting Requirements for Transfer Agents
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 02/21/2023
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/13/2023
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2026	36 Months From Approved	02/28/2023
Responses	3	0	3
Time Burden (Hours)	1	0	1
Cost Burden (Dollars)	0	0	0

---

Abstract: Any person acting as a transfer agent must register as such and amend the registration information when it changes. Transfer agents that are registered with the FDIC are required to deregister when they cease to operate as transfer agents.

---

Authorizing Statute(s): US Code: 15 USC 78q-1 Name of Law: Securities and Exchange Act of 1934
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 51415	08/22/2022
30-day Notice:	Federal Register Citation:	Citation Date:
	87 FR 63495	10/19/2022
Did the Agency receive public comments on this ICR? No

---

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

table that charts list of burden

IC Title	Form No.	Form Name
Transfer Agent Amendment Form	TA-1	Transfer Agetn Registration and Amendment Form
Transfer Agent Deregistration	6342-12 TA-W	Transfer Agent De-Registration
Transfer Agent Initial Registration

---

ICR Summary of Burden

table that charts list 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	3	3	0	0	0	0
Annual Time Burden (Hours)	1	1	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:

---

Annual Cost to Federal Government:

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

---

Common Form ICR:  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:

(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: 01/13/2023

---