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Please note that the OMB number and expiration date may not have been determined when this Information Collection Request and associated Information Collection forms were submitted to OMB. The approved OMB number and expiration date may be found by clicking on the Notice of Action link below.
View ICR - OIRA Conclusion
OMB Control No:
3235-0084
ICR Reference No:
200610-3235-009
Status:
Historical Inactive
Previous ICR Reference No:
200603-3235-019
Agency/Subagency:
SEC
Agency Tracking No:
270-95
Title:
Rule 17Ac2-1, 17 CFR 240.17Ac2-1 (Transfer Agent Registration)
Type of Information Collection:
Revision of a currently approved collection
Common Form ICR:
No
Type of Review Request:
Regular
OIRA Conclusion Action:
Preapproved
Conclusion Date:
12/29/2006
Retrieve Notice of Action (NOA)
Date Received in OIRA:
10/24/2006
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
06/30/2009
12 Months From Approved
06/30/2009
Responses
519
0
100
Time Burden (Hours)
2,076
0
150
Cost Burden (Dollars)
103,800
0
0
Abstract:
Rule 17Ac2-1 requires that in order to register with the Commission as a transfer agent, a Form TA-1, Uniform Form for Registration as a Transfer Agent and for Amendment to Registration Pursuant to Section 17A of the Securities Exchange Act of 1934, must be filed with the Commission. Rule 17Ac2-1 also requires that registered transfer agents file an amended Form TA-1 if any of the information on the form becomes inaccurate, misleading, or incomplete within 60 days.
Authorizing Statute(s):
US Code:
15 USC 78q-1
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78(a)
Name of Law: Securities Exchange Act of 1934
Citations for New Statutory Requirements:
None
Associated Rulemaking Information
RIN:
Stage of Rulemaking:
Federal Register Citation:
Date:
3235-AJ68
Proposed rulemaking
71 FR 53494
09/11/2006
Federal Register Notices & Comments
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
1
IC Title
Form No.
Form Name
Rule 17Ac2-1, 17 CFR 240.17Ac2-1 (Transfer Agent Registration)
TA-2
Uniform Form for Registration as a Transfer Agent
ICR Summary of Burden
Total Request
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
519
100
0
0
419
0
Annual Time Burden (Hours)
2,076
150
0
0
1,926
0
Annual Cost Burden (Dollars)
103,800
0
0
0
103,800
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:
Annual Cost to Federal Government:
$0
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]?
Uncollected
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)?
Uncollected
Is this ICR related to the Pandemic Response?
Uncollected
Agency Contact:
Catherine Moore 202 551-5718 mooreca@sec.gov
Common Form ICR:
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:
(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:
10/24/2006
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