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

Forms and Documents

Document Name	Status
Form TA-W Deregistrations Form	New
Form TA-1 Amendments Form	Modified
Form TA-1 Registrations Form	Modified
TA-1 and TA-W Supporting Statement 7-11-17.doc Supporting Statement A	2017-07-17

IC Document Collections

IC ID	Document Title	Status
227115	Deregistrations Form	New
222377	Amendments Form	Modified
20033	Registrations Form	Modified

ICR Details

OMB Control No: 1557-0124	ICR Reference No: 201706-1557-003
Status: Active	Previous ICR Reference No: 201607-1557-002
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Transfer Agent Registration and Amendment Form -- Form TA-1
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: 04/25/2018
	Date Received in OIRA: 07/25/2017
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	04/30/2021	36 Months From Approved	12/31/2019
Responses	13	0	11
Time Burden (Hours)	4	0	3
Cost Burden (Dollars)	0	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. In 2007, the OCC removed the TA-W form from this information collection and began use of the SEC’s TA-W form (OMB Control No. 3235-0151). The OCC is now reinstituting use of the form to alleviate any confusion created by the use of the SEC form.

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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:
	82 FR 21300	05/05/2017
30-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 34571	07/25/2017
Did the Agency receive public comments on this ICR? No

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

IC Title	Form No.	Form Name
Registrations	TA-1	Transfer Agent Registration and Amendment Form
Amendments	TA-1	Transfer Agent Registration and Amendment Form
Deregistrations	TA-W	NOTICE OF WITHDRAWAL FROM REGISTRATION AS TRANSFER AGENT PURSUANT TO SECTION 17A OF THE SECURITIES EXCHANGE ACT OF 1934

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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	13	11	0	2	0	0
Annual Time Burden (Hours)	4	3	0	1	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The increase in burden is due to the reintroduction of the TA-W form.

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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? 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: 07/25/2017

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