OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Notice Claiming Status as an Exempt Transfer Agent

OMB 7100-0137 ยท FRS.

OMB 7100-0137

Transfer agents, which are institutions that provide securities transfer, registration, monitoring, and other specified services on behalf of securities issuers, are generally subject to certain Securities and Exchange Commission (SEC) regulations. However, a transfer agent that is regulated by and registered with the Board (a Board-regulated transfer agent) may request an exemption from those regulations if it transfers and processes a low volume of securities (a low-volume transfer agent). A transfer agent is Board-regulated if it is a state member bank or a subsidiary thereof, a bank holding company (BHC), or a savings and loan holding company (SLHC). A Board-regulated transfer agent may request an exemption from the SEC regulations by filing with the Board a notice (exemption notice) certifying that it qualifies as a low-volume transfer agent. In addition, a Board-regulated low-volume transfer agent that no longer meets the requirements of being a low-volume transfer agent must notify the Board of that fact.

The latest form for Notice Claiming Status as an Exempt Transfer Agent expires 2026-09-30 and is listed under ICR 202209-7100-009.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
FR4013_20220929_omb.pdfSupporting Statement A
Exemption notice Information collection
Exemption disqualification notice Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202209-7100-009 Extension without change of a currently approved collection 2022-09-29 Approved without change
201909-7100-009 Revision of a currently approved collection 2019-09-25 Approved without change
201909-7100-007 No material or nonsubstantive change to a currently approved collection 2019-09-25 Approved without change
201606-7100-001 Extension without change of a currently approved collection 2016-06-29 Approved without change
201305-7100-005 Revision of a currently approved collection 2013-06-29 Approved without change
201003-7100-012 Extension without change of a currently approved collection 2010-06-22 Approved without change
201002-7100-006 No material or nonsubstantive change to a currently approved collection 2010-03-24 Approved without change
200705-7100-014 Extension without change of a currently approved collection 2007-06-15 Approved without change
200705-7100-009 No material or nonsubstantive change to a currently approved collection 2007-05-30 Approved without change
200406-7100-006 Extension without change of a currently approved collection 2004-06-18 Approved without change
200402-7100-006 No material or nonsubstantive change to a currently approved collection 2004-02-04 Approved without change
200105-7100-009 No material or nonsubstantive change to a currently approved collection 2001-05-23 Approved without change
200105-7100-002 Extension without change of a currently approved collection 2001-05-31 Approved without change
199805-7100-003 Extension without change of a currently approved collection 1998-05-18 Approved without change
199801-7100-010 No material or nonsubstantive change to a currently approved collection 1998-01-14 Approved with change
199502-7100-005 Extension without change of a currently approved collection 1995-02-21 Approved without change
199407-7100-010 No material or nonsubstantive change to a currently approved collection 1994-07-28 Approved with change
199304-7100-006 Extension without change of a currently approved collection 1993-04-23 Approved without change
199009-7100-003 Revision of a currently approved collection 1990-09-13 Approved without change
199007-7100-007 No material or nonsubstantive change to a currently approved collection 1990-07-10 Approved with change
198906-7100-043 No material or nonsubstantive change to a currently approved collection 1989-06-06 Approved with change
198710-7100-009 Revision of a currently approved collection 1987-10-02 Approved without change
198408-7100-023 No material or nonsubstantive change to a currently approved collection 1984-08-14 Approved with change
198407-7100-017 No material or nonsubstantive change to a currently approved collection 1984-07-10 Approved with change
198405-7100-004 Revision of a currently approved collection 1984-05-09 Approved without change
198110-7100-022 Extension without change of a currently approved collection 1981-10-29 Approved without change
198104-7100-110 Revision of a currently approved collection 1981-04-30 Approved without change

OMB Details

Exemption notice

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight