Transfer Agency Registration and Amendment Form

Forms and Documents

Document Name	Status
Form TA-1 Registered Transfer Agents Form TA-1 (amendments) Form and Instruction	Unchanged
Form TA-1 Registered Transfer Agents Form TA-1 (initial registrations) Form and Instruction	Unchanged
1550.0118.Supporting.Statement.doc Supporting Statement A	2010-07-14

IC Document Collections

IC ID	Document Title	Status
181045	Registered Transfer Agents Form TA-1 (amendments) Form and Instruction	Unchanged
181044	Registered Transfer Agents Form TA-1 (initial registrations) Form and Instruction	Unchanged

ICR Details

OMB Control No: 1557-0298	ICR Reference No: 201107-1557-050
Status: Historical Active	Previous ICR Reference No: 200707-1550-001
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Transfer Agency Registration and Amendment Form
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 07/21/2011
	Date Received in OIRA: 07/21/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2013	36 Months From Approved
Responses	15	0	15
Time Burden (Hours)	8	0	8
Cost Burden (Dollars)	0	0	0

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Abstract: 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.

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Authorizing Statute(s): None

Citations for New Statutory Requirements: PL: Pub.L. 109 - 351 401 Name of Law: Financial Services Regulatory Relief Act of 2006

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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:
	75 FR 22184	04/27/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 136	07/16/2010
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

IC Title	Form No.	Form Name
Registered Transfer Agents Form TA-1 (initial registrations)	TA-1	Registered Transfer Agents Form TA-1
Registered Transfer Agents Form TA-1 (amendments)	TA-1	Registered Transfer Agents Form TA-1

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ICR Summary 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	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

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: 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.

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Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? 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]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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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: 07/16/2010

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