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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:
202105-3235-002
Status:
Active
Previous ICR Reference No:
201801-3235-010
Agency/Subagency:
SEC
Agency Tracking No:
TM-270-095
Title:
Rule 17Ac2-1, 17 CFR 240.17Ac2-1 and Form TA-1 (Transfer Agent Registration)
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:
10/27/2021
Retrieve Notice of Action (NOA)
Date Received in OIRA:
08/24/2021
Terms of Clearance:
Inventory as of this Action
Requested
Previously Approved
Expiration Date
10/31/2024
36 Months From Approved
11/30/2021
Responses
199
0
186
Time Burden (Hours)
635
0
363
Cost Burden (Dollars)
0
0
0
Abstract:
Rule 17Ac2-1 requires transfer agents for whom the Commission is the appropriate regulatory agency to file an application for registration on Form TA-1 and to amend Form TA-1 if information has become inaccurate, misleading, or incomplete. Form TA-1 requires transfer agents to provide basic information about their business including contact information, control persons, agency relationships and disciplinary history.
Authorizing Statute(s):
US Code:
15 USC 78(a)
Name of Law: Securities Exchange Act of 1934
US Code:
15 USC 78q-1
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:
86 FR 32099
06/16/2021
30-day Notice:
Federal Register Citation:
Citation Date:
86 FR 47351
08/24/2021
Did the Agency receive public comments on this ICR?
No
Number of Information Collection (IC) in this ICR:
2
IC Title
Form No.
Form Name
Form TA-1
SEC 1528
Form TA-1
Rule 17Ac2-1, 17 CFR 240.17Ac2-1 (Transfer Agent Registration) New Registrants
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
199
186
0
0
13
0
Annual Time Burden (Hours)
635
363
0
0
272
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:
The total annual reporting burden has increased from approximately 363 to approximately 635 hours per year. Factors involved in this change include an increase in the number of new applications for registration filed on Form TA-1 from 8 to 32 and a decrease in the number of amendments filed from 178 to 167.
Annual Cost to Federal Government:
$100,000
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.
Yes
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?
No
Agency Contact:
Adam Mortillaro 202 551-6157
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:
08/24/2021
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