[Federal Register Volume 78, Number 86 (Friday, May 3, 2013)]
[Notices]
[Pages 26113-26114]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-10436]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF THE TREASURY

Office of the Comptroller of the Currency

FEDERAL DEPOSIT INSURANCE CORPORATION


Information Collection Renewal; Comment Request; Transfer Agent 
Registration and Amendment Form

AGENCIES: Office of the Comptroller of the Currency (OCC), Treasury; 
and Federal Deposit Insurance Corporation (FDIC).

ACTION: Joint notice and request for comment.

-----------------------------------------------------------------------

SUMMARY: The OCC and FDIC, as part of their continuing effort to reduce 
paperwork and respondent burden, invite 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.
    Under the Paperwork Reduction Act of 1995 (PRA), Federal agencies 
are required to publish notice in the Federal Register concerning each 
proposed collection of information, including each proposed extension 
of an existing collection of information and to allow 60 days for 
public comment in response to the notice.
    In accordance with the requirements of the PRA, the OCC and FDIC 
may not conduct or sponsor, and the respondent is not required to 
respond to, an information collection unless it displays a currently 
valid Office of Management and Budget (OMB) control number.
    The OCC and FDIC are soliciting comment concerning renewal of its 
information collection titled, ``Transfer Agent Registration and 
Amendment Form.''

DATES: Comments must be submitted on or before July 2, 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.

[[Page 26114]]

     Hand Delivery: Comments may be hand delivered to the guard 
station at the rear of the 550 17th Street Building (located on F 
Street) on business days between 7 a.m. and 5 p.m.
    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., Washington, DC 20429.

SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501-3520), Federal 
agencies must obtain approval from the Office of Management and Budget 
(OMB) for each collection of information they conduct or sponsor. 
``Collection of information'' is defined in 44 U.S.C. 3502(3) and 5 CFR 
1320.3(c) to include agency requests or requirements that members of 
the public submit reports, keep records, or provide information to a 
third party. Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A)) 
requires Federal agencies to provide a 60-day notice in the Federal 
Register concerning each proposed collection of information, including 
each proposed extension of an existing collection of information, 
before submitting the collection to OMB for approval. To comply with 
this requirement, the OCC and FDIC are publishing notice of the 
proposed collection of information set forth in this document.
    The OCC and FDIC are proposing to extend for three years, without 
revision, the uniform interagency Transfer Agent Registration and 
Amendment Form.
    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 (the 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. 
Sec. Sec.  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 are not 
considered confidential.

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: April 26, 2013.
Michele Meyer,
Assistant Director, Legislative and Regulatory Activities Division, 
Office of the Comptroller of the Currency.
    Dated at Washington, DC, this 17th day of April, 2013.

Federal Deposit Insurance Corporation.

Robert E. Feldman,
Executive Secretary.
[FR Doc. 2013-10436 Filed 5-2-13; 8:45 am]
BILLING CODE 4810-33-P; 6714-01-P