Skip to main content
An official website of the United States government
The .gov means it's official.
Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you're on a federal government site.
The site is secure.
The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.
Search:
Agenda
Reg Review
ICR
This script is used to control the display of information in this page.
Display additional information by clicking on the following:
All
Brief and OIRA conclusion
Abstract/Justification
Legal Statutes
Rulemaking
FR Notices/Comments
IC List
Burden
Misc.
Common Form Info.
Certification
View Information Collection (IC) List
View Supporting Statement and Other Documents
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:
3235-0337
ICR Reference No:
201201-3235-001
Status:
Historical Active
Previous ICR Reference No:
200902-3235-017
Agency/Subagency:
SEC
Agency Tracking No:
TM-270-298
Title:
Transfer Agent's Annual Report 17 CFR 240.17Ac2-2, Form TA-2
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 with change
Conclusion Date:
05/08/2012
Retrieve Notice of Action (NOA)
Date Received in OIRA:
03/29/2012
Terms of Clearance:
Burden change reclassified as change due to adjustment in agency estimate.
Inventory as of this Action
Requested
Previously Approved
Expiration Date
05/31/2015
36 Months From Approved
06/30/2012
Responses
473
0
598
Time Burden (Hours)
2,174
0
2,923
Cost Burden (Dollars)
0
0
121,304
Abstract:
Rule 17Ac2-2 requires all registered transfer agents to file an annual report of their business activities on Form TA-2 with the Commission.
Authorizing Statute(s):
US Code:
15 USC 78q-1
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78w(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:
Not associated with rulemaking
Federal Register Notices & Comments
60-day Notice:
Federal Register Citation:
Citation Date:
77 FR 3291
01/23/2012
30-day Notice:
Federal Register Citation:
Citation Date:
77 FR 19037
03/29/2012
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
Transfer Agent's Annual Report 17 CFR 240.17Ac2-2, Form TA-2
SEC 2113
TA-2
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
473
598
0
0
-125
0
Annual Time Burden (Hours)
2,174
2,923
0
0
-749
0
Annual Cost Burden (Dollars)
0
121,304
0
0
-121,304
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:
Yes
Burden Reduction Due to:
Miscellaneous Actions
Short Statement:
The total annual hourly burden has been reduced from 2,923 hours to 2,174 hours to relect the decrease in the number of transfer agents that are registered with the Commission. The total annual cost burden has been reduced from $121,304.50 to $0.00 to correct a previous miscalculation and reflect the fact that there are no outside labor or maintenance costs to respondents.
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]?
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
Agency Contact:
Joseph horn 202 551-5765
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:
03/29/2012
An official website of the United States government
The .gov means it's official.
The site is secure.
