[Federal Register: October 5, 2004 (Volume 69, Number 192)]
[Notices]
[Page 59643-59644]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr05oc04-111]
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DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency
Agency Information Collection Activities: Submission for OMB
Review; Comment Request
AGENCY: Office of the Comptroller of the Currency (OCC), Treasury.
ACTION: Notice and request for comment.
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SUMMARY: The OCC, as part of its continuing effort to reduce paperwork
and respondent burden, invites the general public and other Federal
agencies to take this opportunity to comment on a continuing
information collection, as required by the Paperwork Reduction Act of
1995. The OCC is soliciting comment concerning its information
collection titled, ``Transfer Agent Registration and Amendment Form--
Form TA-1.'' The OCC also gives notice that it has sent the information
collection to OMB for review and approval.
DATES: You should submit your comments to the OCC and the OMB Desk
Officer by November 4, 2004.
ADDRESSES: You should direct your comments to:
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
regs.comments@occ.treas.gov. You can inspect and photocopy the comments
at the OCC's Public Information Room, 250 E Street, SW., Washington, DC
20219. You can make an appointment to inspect the comments by calling
(202) 874-5043.
OMB: Mark Menchik, OMB Desk Officer, Office of Management and
Budget, New Executive Office Building, Room 3208, Washington, DC 20503.
FOR FURTHER INFORMATION CONTACT: You can request additional information
or a copy of the collection from John Ference, OCC Clearance Officer,
or Camille Dixon, (202) 874-5090, Legislative and Regulatory Activities
Division, Office of the Comptroller of the Currency, 250 E Street, SW.,
Washington, DC 20219.
SUPPLEMENTARY INFORMATION: The OCC is proposing to extend OMB approval
of the following information collection:
Title: Transfer Agent Registration and Amendment Form--Form TA-1.
OMB Number: 1557-0124.
Description: Section 17A(c) of the Securities Exchange Act of 1934
(Act), as amended by the Securities Act Amendments of 1975, provides
that all those authorized to transfer securities registered under
Section 12 of the Act (transfer agents) shall 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 to be necessary or
appropriate, in furtherance of the purposes of this section. The OCC,
Federal Deposit Insurance Corporation, and the Board of Governors of
the Federal Reserve jointly developed Form TA-1 to satisfy this
statutory requirement.
National bank transfer agents use Form TA-1 to register or amend
registration as transfer agents. 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.
National bank transfer agents must file amendments to Form TA-1
with the OCC within 60 calendar days following the date on which any
information reported on Form TA-1 becomes inaccurate, misleading, or
incomplete. Amendments to Form TA-1 are used by the OCC to schedule and
plan examinations.
The Securities and Exchange Commission maintains complete files on
the registration data of all transfer agents registered, pursuant to
the Act. It utilizes the data to identify transfer agents and to
facilitate development of rules and standards applicable to all
registered transfer agents.
Type of Review: Extension, without change, of OMB approval.
Affected Public: Businesses or other for-profit (national banks).
Estimated Number of Respondents: 60.
Estimated Total Annual Responses: 60.
Frequency of Response: On occasion.
Estimated Time per Respondent: 30 minutes.
Estimated Total Annual Burden: 30 hours.
An agency may not conduct or sponsor, and a respondent is not
required to respond to, an information collection unless the
information
[[Page 59644]]
collection displays a currently valid OMB control number.
Stuart Feldstein,
Assistant Director, Legislative and Regulatory Activities Division.
[FR Doc. 04-22325 Filed 10-4-04; 8:45 am]
BILLING CODE 4810-33-P