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DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency
FEDERAL RESERVE SYSTEM
FEDERAL DEPOSIT INSURANCE CORPORATION
Office of Thrift Supervision
Agency Information Collection Activities: Submission for OMB
Review; Comment Request
AGENCIES: Office of the Comptroller of the Currency (OCC), Treasury;
Board of Governors of the Federal Reserve System (Board); Federal
Deposit Insurance Corporation (FDIC); and Office of Thrift Supervision
ACTION: Notice of information collections to be submitted to OMB for
review and approval under the Paperwork Reduction Act.
SUMMARY: In accordance with the requirements of the Paperwork Reduction
Act of 1995 (44 U.S.C. chapter 35), the OCC, the Board, the FDIC, and
the OTS (the ``agencies'') may not conduct or sponsor, and the
respondent is not required to respond to, an information collection
unless it displays a currently valid Office of Management and Budget
(OMB) control number. On April 6, 2007, the agencies published a notice
requesting public comment for sixty days on the extension, with
revision, of the Transfer Agent Registration and Amendment Form (TA-1).
In addition, 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 for savings associations intending to engage in
transfer agent activities. Currently, the OCC, FDIC, and OTS are
soliciting comment concerning the extension, with revision, of the
Transfer Agent Registration and Amendment Form. The Board has approved
this information collection under its delegated authority from OMB.
DATES: Comments must be submitted on or before August 2, 2007.
ADDRESSES: Interested parties are invited to submit written comments to
any or all of the agencies. All comments, which should refer to the OMB
control number(s), will be shared among the agencies.
OCC: Communications Division, Office of the Comptroller of the
Currency, Public Information Room, Mailstop 1-5, Attention: 1557-0124,
250 E Street, SW., Washington, DC 20219. In addition, comments may be
sent by fax to (202) 874-4448, or by electronic mail to
You can inspect and photocopy comments at
the OCC's Public Information Room, 250 E Street, SW., Washington, DC
20219. You can make an appointment to inspect comments by calling (202)
Board: You may submit comments, which should refer to FR TA-1,
7100-0099, by any of the following methods:
Agency Web Site: http://www.federalreserve.gov Follow the instructions
for submitting comments on the http://.
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
Include the OMB
control number for this information collection in the subject line of
Fax: 202-452-3819 or 202-452-3102.
Mail: Jennifer J. Johnson, Secretary, Board of Governors
of the Federal Reserve System, 20th Street and Constitution Avenue,
NW., Washington, DC 20551.
All public comments are available from the Board's Web site at
submitted, unless modified for technical reasons. Accordingly, your
comments will not be edited to remove any identifying or contact
information. Public comments may also be viewed electronically or in
paper in Room MP-500 of the Board's Martin Building (20th and C
Streets, NW.) between 9 a.m. and 5 p.m. on weekdays.
FDIC: You may submit comments, which should refer to ``Transfer
Agent Registration and Amendment Form, 3064-0026'' by any of the
firstname.lastname@example.org. Include ``Transfer
Registration and Amendment Form, 3064-0026'' in the subject line of the
Mail: Steven F. Hanft (202-898-3907), Clearance Officer,
Attn: Comments, Federal Deposit Insurance Corporation, 550 17th Street,
NW., Washington, DC 20429.
Hand Delivery: Comments may be hand delivered to the guard
station at the rear of the 550 17th Street Building (located on F
Street) on business days between 7 a.m. and 5 p.m.
Public Inspection: All comments received will be posted without
including any personal information provided. Comments may be inspected
at the FDIC Public Information Center, Room E-1002, 3501 Fairfax Drive,
Arlington, VA 22226, between 9 a.m. and 5 p.m. on business days.
OTS: You may submit comments, identified by ``1550-NEW (Form TA-
1),'' by any of the following methods:
E-mail address: email@example.com.
Please include ``1550-NEW (Form TA-1)'' in the subject line of the
message and include your name and telephone number in the message.
Fax: (202) 906-6518.
Mail: Information Collection Comments, Chief Counsel's
Office, Office of Thrift Supervision, 1700 G Street, NW., Washington,
DC 20552, Attention: ``1550-NEW (Form TA-1)''
Hand Delivery/Courier: Guard's Desk, East Lobby Entrance,
1700 G Street, NW., from 9 a.m. to 4 p.m. on business days, Attention:
Information Collection Comments, Chief Counsel's Office, Attention:
``1550-NEW (Form TA-1)''
Instructions: All submissions received must include the agency name
and OMB Control Number for this information collection. All comments
received will be posted without change to the OTS
Internet Site at
, including any personal information
Docket: For access to the docket to read background documents or
comments received, go to
In addition, you may inspect comments
at the Public Reading Room, 1700 G Street, NW., by appointment. To make
an appointment for access, call (202) 906-5922, send an e-mail to
or send a facsimile transmission to (202)
906-7755. (Prior notice identifying the materials you will be
requesting will assist us in serving you.) We schedule appointments on
business days between 10 a.m. and 4 p.m. In most cases, appointments
will be available the next business day following the date we receive a
Additionally, commenters may send a copy of their comments to the
OMB desk officer for the Agencies by mail to the Office of Information
and Regulatory Affairs, U.S. Office of Management and Budget, New
Executive Office Building, Room 10235, 725 17th Street, NW.,
Washington, DC 20503, or by fax to (202) 395-6974.
FOR FURTHER INFORMATION CONTACT: For further information about the
proposed information collection discussed in this notice, please
contact any of the agency clearance officers listed below.
OCC: Mary Gottlieb, OCC Clearance Officer, (202) 874-5090,
Legislative and Regulatory Activities Division, Office of the
Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219.
Board: Michelle E. Shore, Federal Reserve Board Clearance Officer,
(202) 452-3829, Division of Research and Statistics, Board of Governors
of the Federal Reserve System, 20th and C Streets, NW., Washington, DC
20551. Telecommunications Device for the Deaf (TDD) users may call
FDIC: Steven F. Hanft, Clearance Officer, (202) 898-3907, Legal
Division, Federal Deposit Insurance Corporation, 550 17th Street, NW.,
Washington, DC 20429.
OTS: Marilyn K. Burton, OTS Clearance Officer, at
(202) 906-6467, or facsimile number (202)
906-6518, Litigation Division, Chief Counsel's Office, Office of Thrift
Supervision, 1700 G Street, NW., Washington, DC 20552.
SUPPLEMENTARY INFORMATION: The agencies, other than the Federal
Reserve, are proposing to extend for three years, with revision, the
uniform interagency Transfer Agent Registration and Amendment Form. The
Securities Exchange Act of 1934 (the Act) requires any person acting as
a transfer agent to register as such and to amend registration
information when it changes. The Federal Reserve, under its delegated
authority from OMB, has approved the extension for three years, with
revision, of this information collection.
Report Title: Transfer Agent Registration and Amendment Form.
Form Number: TA-1.
Frequency of Response: On occasion.
Affected Public: Business or other for-profit.
Estimated Time per Response: 1.25 hours: registration, 10 minutes:
OMB Number: 1557-0124.
Estimated Number of Respondents: 3 registrations, 10 amendments.
Estimated Total Annual Burden: 5 hours.
OMB Number: 7100-0099.
Estimated Number of Respondents: 5 registrations, 10 amendments.
Estimated Total Annual Burden: 8 hours.
OMB Number: 3064-0026.
Estimated Number of Respondents: 2 registrations, 13 amendments.
On October 13, 2006, the President signed the FSRRA into law. One
of the provisions of the FSRRA contains an amendment to section
3(a)(34) of the Securities Exchange Act of 1934. Section 3(a)(34) of
the Act defines ``appropriate regulatory agency'' and includes OTS as
an appropriate regulatory agency for certain activities, thus
authorizing OTS to collect certain information. Therefore, OTS is
seeking OMB approval for this new collection of information.
OMB Number: 1550-NEW.
General Description of Reports
This information collection is mandatory: Sections 17A(c),
17(a)(3), and 23(a) of the Act, as amended (15 U.S.C. 78q-1(c),
78q(a)(3), and 78w(a)) (OCC, Board, FDIC, and OTS). Additionally, the
Federal Reserve's Regulation H (section 208.31(a)) and Regulation Y
(section 225.4(d)), as well as Sec. 341.3 of the FDIC's Rules and
Regulations implement the provisions of the Act. The registrations are
public filings and are not considered confidential.
Section 17A(c) of the Act requires all transfer agents for
securities registered under section 12 of the Act to register ``by
filing with the appropriate regulatory agency * * * an application for
registration in such form and containing such information and documents
* * * as such appropriate regulatory agency may prescribe as necessary
or appropriate in furtherance of the purposes of this section.'' In
general, an entity performing transfer agent functions for a security
is required to register if the security is registered on a national
securities exchange and if the issuer has total assets of $10 million
or more and a class of equity security held of record by 500 or more
Currently, the TA-1 instructions direct respondents who are
submitting amended data to complete the entire reporting form. The
agencies propose to revise the instructions to state that respondents
who are filing amended data would be required to complete questions 1,
2, and 3 (appropriate regulatory agency, filing status, and full name
of registrant organization, respectively) and, additionally, only those
data items that are inaccurate, incomplete, or misleading. This would
make filing an amended TA-1 easier for respondents and better highlight
the data that has been changed.
OTS seeks OMB approval to institute use of the TA-1 for savings
associations intending to engage in transfer agent activities.
On April 6, 2007, the agencies published a notice in the Federal
Register (72 FR 17222) requesting public comment for sixty days; the
comment period for this notice expired on June 5, 2007. The agencies
received no comments.
Request for Comment
The Agencies invite comment on:
(a) Whether the collections of information are necessary for the
proper performance of the Agencies' functions, including whether the
information has practical utility;
(b) The accuracy of the Agencies' estimates of the burden of the
information collections, including the validity of the methodology and
(c) Ways to enhance the quality, utility, and clarity of the
information to be collected;
(d) Ways to minimize the burden of information collections on
respondents, including through the use of automated collection
techniques or other forms of information technology; and
(e) Estimates of capital or start up costs and costs of operation,
maintenance, and purchase of services to provide information.
Comments submitted in response to this notice will be shared among
the Agencies. Unless otherwise afforded confidential treatment pursuant
to Federal law, all comments will become a matter of public record.
Dated: June 20, 2007.
Director, Legislative and Regulatory Activities Division, Office of the
Comptroller of the Currency.
Board of Governors of the Federal Reserve System, June 27, 2007.
Jennifer J. Johnson,
Secretary of the Board.
Dated at Washington, DC., this 25th day of June, 2007.
Federal Deposit Insurance Corporation.
Robert E. Feldman,
Dated: June 22, 2007.
Senior Deputy Chief Counsel, Regulations and Legislation Division,
Office of Thrift Supervision.
[FR Doc. 07-3226 Filed 7-2-07; 8:45 am]
BILLING CODE 4810-33-P