Transfer Agency Registration and Amendment Form

ICR 201003-1550-002

OMB: 1550-0118

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Unchanged
Form and Instruction
Unchanged
Supporting Statement A
2010-07-14
ICR Details
1550-0118 201003-1550-002
Historical Active 200707-1550-001
TREAS/OTS
Transfer Agency Registration and Amendment Form
Extension without change of a currently approved collection   No
Regular
Approved without change 09/16/2010
Retrieve Notice of Action (NOA) 07/16/2010
  Inventory as of this Action Requested Previously Approved
09/30/2013 36 Months From Approved 09/30/2010
15 0 15
8 0 8
0 0 0

OTS seeks to implement an amendment to section 3(a)(34) of the Securities Exchange Act of 1934 (the Act), pursuant to a provision of the Financial Services Regulatory Relief Act of 2006 (FSRRA), enacted on October 13, 2006. This implementation would institute the use of the TA-1 form for savings associations intending to engage in transfer agent activities.

None
PL: Pub.L. 109 - 351 401 Name of Law: Financial Services Regulatory Relief Act of 2006

Not associated with rulemaking

  75 FR 22184 04/27/2010
75 FR 136 07/16/2010
No

  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 15 15 0 0 0 0
Annual Time Burden (Hours) 8 8 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No
There is no change in the burden just updating the TA-1 Form to include the OTS. OTS will use the information to determine whether to allow, deny, accelerate, or postpone an application. OTS also uses the data to more effectively schedule and plan transfer agent examinations. The Securities and Exchange Commission (SEC) maintains complete files on the registration data of all transfer agents registered pursuant to the Act. It utilizes the data to identify transfer agents and to facilitate development of rules and standards applicable to all registered transfer agents.

No
No
No
Uncollected
No
Uncollected
Judi McCormick 202 906-5636

  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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
07/16/2010


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