[Federal Register Volume 78, Number 139 (Friday, July 19, 2013)]
[Notices]
[Pages 43275-43276]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-17384]
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DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency
FEDERAL DEPOSIT INSURANCE CORPORATION
Agency Information Collection Activities; Submission for Office
of Management and Budget Review; Comment Request; Transfer Agent
Registration and Amendment Form
AGENCY: Office of the Comptroller of the Currency (OCC), Treasury; and
Federal Deposit Insurance Corporation (FDIC) . ACTION: Notice and
Request for Comment.
SUMMARY: The Office of the Comptroller of the Currency (OCC) and
Federal Deposit Insurance Corporation (FDIC) are announcing that a
proposed collection of information renewal is being submitted to the
Office of Management and Budget (OMB) for review and clearance under
the Paperwork Reduction Act of 1995 (PRA).
DATES: Comments must be submitted on or before August 19, 2013.
ADDRESSES:
OCC: Because paper mail in the Washington, DC area and at the OCC
is subject to delay, commenters are encouraged to submit comments by
email if possible. Comments may be sent to: Legislative and Regulatory
Activities Division, Office of the Comptroller of the Currency,
Attention: 1557-0124, 400 7th Street SW., Suite 3E-218, Mail Stop 9W-
11, Washington, DC 20219. In addition, comments may be sent by fax to
(571) 465-4326 or by electronic mail to [email protected].
You may personally inspect and photocopy comments at the OCC, 400 7th
Street SW., Washington, DC 20219. For security reasons, the OCC
requires that visitors make an appointment to inspect comments. You may
do so by calling (202) 649-6700. Upon arrival, visitors will be
required to present valid government-issued photo identification and to
submit to security screening in order to inspect and photocopy
comments.
All comments received, including attachments and other supporting
materials, are part of the public record and subject to public
disclosure. Do not enclose any information in your comment or
supporting materials that you consider confidential or inappropriate
for public disclosure.
FDIC: You may submit comments, which should refer to ``Transfer
Agent Registration and Amendment Form, 3064-0026'' by any of the
following methods:
http://www.FDIC.gov/regulations/laws/federal/notices.html.
Email: [email protected]. Include ``Transfer Agent
Registration and Amendment Form, 3064-0026'' in the subject line of the
message.
Mail: Gary A. Kuiper (202 898-3877, Attn: Comments,
Federal Deposit Insurance Corporation, 550 17th Street NW., NYA-5046,
Washington, DC 20429.
Hand Delivery: Comments may be hand delivered to the guard
station at the rear of the 550 17th Street Building
[[Page 43276]]
(located on F Street) on business days between 7 a.m. and 5 p.m.
Additionally, please send a copy of your comments by mail to: OCC
Desk Officer, 1557-0124 or 3064-0026, U.S. Office of Management and
Budget, 725 17th Street NW., 10235, Washington, DC 20503, or
by email to: [email protected].
Public Inspection: All comments received will be posted without
change to http://www.fdic.gov/regulations/laws/federal/notices.html
including any personal information provided.
FOR FURTHER INFORMATION CONTACT: For further information about the
information collection discussed in this notice, please contact any of
the agency clearance officers whose names appear below.
OCC: Johnny Vilela or Mary H. Gottlieb, OCC Clearance Officers,
(202) 649-5490, Legislative and Regulatory Activities Division, Office
of the Comptroller of the Currency, 400 7th Street SW., Suite 3E-218,
Mail Stop 9W-11, Washington, DC 20219.
FDIC: Gary A. Kuiper, (202) 898-3877, Legal Division, Federal
Deposit Insurance Corporation, 550 17th Street NW., NYA-5046,
Washington, DC 20429.
SUPPLEMENTARY INFORMATION: In compliance with 44 U.S.C. 3507, the OCC
and FDIC are submitting the following proposed collection of
information to OMB for review and clearance.
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:
amendment.
OCC
OMB Number: 1557-0124.
Estimated Number of Respondents: 2 registrations, 15 amendments.
Estimated Total Annual Burden: 6 hours.
FDIC
OMB Number: 3064-0026.
Estimated Number of Respondents: 2 registrations, 13 amendments.
Estimated Total Annual Burden: 5 hours.
Abstract
The Securities Exchange Act of 1934 (Act) requires any person
acting as a transfer agent to register as such and to amend
registration information when it changes. 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 persons.
General Description of Reports
This information collection is mandatory pursuant to 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)) (FDIC). Sections 12, 13, 14(a), 14(c), 14(d),
14(f), and 16 of the Act, as amended (15 U.S.C. 781, 78m, 78n(a),
78n(c), 78n(d), 78n(f), and 78p (OCC). Additionally, Sec. 341.3 of the
FDIC's Rules and Regulations implement the provisions of the Act. The
registrations are public filings and, therefore, are not confidential.
On May 3, 2013, the OCC and FDIC published in the Federal Register
(78 FR 26113), a 60-day notice requesting public comment on the
proposed collection of information. They 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
assumptions used;
(c) Ways to enhance the quality, utility, and clarity of the
information to be collected; and
(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.
Comments submitted in response to this notice will be shared among
the Agencies. All comments will become a matter of public record.
Dated: July 15, 2013.
Michele Meyer,
Assistant Director, Legislative and Regulatory Activities Division.
Dated at Washington, DC, this 11th day of July, 2013.
Federal Deposit Insurance Corporation.
Robert E. Feldman,
Executive Secretary.
[FR Doc. 2013-17384 Filed 7-18-13; 8:45 am]
BILLING CODE 4810-33-P ; 6714-01-P