[Federal Register Volume 75, Number 80 (Tuesday, April 27, 2010)]
[Notices]
[Pages 22184-22186]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-9722]
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DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency
FEDERAL RESERVE SYSTEM
FEDERAL DEPOSIT INSURANCE CORPORATION
DEPARTMENT OF THE TREASURY
Office of Thrift Supervision
Proposed Agency Information Collection Renewal; Comment Request
AGENCIES: Office of the Comptroller of the Currency (OCC), Treasury;
Board of Governors of the Federal Reserve System (Board); Federal
Deposit Insurance Corporation (FDIC); and Office of Thrift Supervision
(OTS), Treasury.
ACTION: Joint notice and request for comment.
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SUMMARY: The OCC, Board, FDIC and OTS (collectively, the Banking
Agencies or Agencies), as part of their continuing effort to reduce
paperwork and respondent burden, invite the general public and other
Federal agencies to comment on the proposed renewal of the interagency
Transfer Agent and Amendment Form, as required by the Paperwork
Reduction Act of 1995. The Banking Agencies 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.
DATES: Comments must be submitted on or before June 28, 2010.
ADDRESSES: Interested parties are invited to submit written comments to
any or all of the Agencies. All comments, which should refer to the OMB
control number(s), will be shared among the Agencies.
OCC: Communications Division, Office of the Comptroller of the
Currency, Mailstop 2-3, Attention: 1557-0124, 250 E Street, SW.,
Washington, DC 20219. In addition, comments may be sent by fax to (202)
874-5274, or by electronic mail to [email protected]. You may
personally inspect and photocopy comments at the OCC, 250 E 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) 874-4700. Upon arrival, visitors
[[Page 22185]]
will be required to present valid government-issued photo
identification and to submit to security screening in order to inspect
and photocopy comments.
Board: You may submit comments, which should refer to ``FR TA-1,
7100-0099,'' by any of the following methods:
Agency Web Site: http://www.federalreserve.gov. Follow the
instructions for submitting comments on the http://www.federalreserve.gov/generalinfo/foia/ProposedRegs.cfm.
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
E-mail: [email protected]. Include the OMB
control number for this information collection in the subject line of
the message.
FAX: 202-452-3819 or 202-452-3102.
Mail: Jennifer J. Johnson, Secretary, Board of Governors
of the Federal Reserve System, 20th Street and Constitution Avenue,
NW., Washington, DC 20551.
All public comments are available from the Board's Web site at
www.federalreserve.gov/generalinfo/foia/ProposedRegs.cfm as submitted,
unless modified for technical reasons. Accordingly, your comments will
not be edited to remove any identifying or contact information. Public
comments may also be viewed electronically or in paper in Room MP-500
of the Board's Martin Building (20th and C Streets, NW.) between 9 a.m.
and 5 p.m. on weekdays.
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.
E-mail: [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.,
Washington, DC 20429.
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.
OTS: You may submit comments, identified by ``1550-0118 (Form TA-
1),'' by any of the following methods:
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
E-mail address: [email protected].
Please include ``1550-0118 (Form TA-1)'' in the subject line of the
message and include your name and telephone number in the message.
Fax: (202) 906-6518.
Mail: Information Collection Comments, Chief Counsel's
Office, Office of Thrift Supervision, 1700 G Street, NW., Washington,
DC 20552, Attention: ``1550-0118 (Form TA-1)''.
Hand Delivery/Courier: Guard's Desk, East Lobby Entrance,
1700 G Street, NW., from 9 a.m. to 4 p.m. on business days, Attention:
Information Collection Comments, Chief Counsel's Office, Attention:
``1550-0118 (Form TA-1)''.
Instructions: All submissions received must include the agency name
and OMB Control Number for this information collection. All comments
received will be posted without change to the OTS Internet Site at
http://www.ots.treas.gov/pagehtml.cfm?catNumber=67&an=1, including any
personal information provided.
Docket: For access to the docket to read background documents or
comments received, go to http://www.ots.treas.gov/pagehtml.cfm?catNumber=67&an=1. In addition, you may inspect comments
at the Public Reading Room, 1700 G Street, NW., by appointment. To make
an appointment for access, call (202) 906-5922, send an e-mail to
public.info@ots.treas.gov">public.info@ots.treas.gov, or send a facsimile transmission to (202)
906-7755. (Prior notice identifying the materials you will be
requesting will assist us in serving you.) We schedule appointments on
business days between 10 a.m. and 4 p.m. In most cases, appointments
will be available the next business day following the date we receive a
request.
Additionally, commenters may send a copy of their comments to the
OMB desk officer for the Agencies by mail to the Office of Information
and Regulatory Affairs, U.S. Office of Management and Budget, New
Executive Office Building, Room 10235, 725 17th Street, NW.,
Washington, DC 20503, or by fax to (202) 395-6974.
FOR FURTHER INFORMATION CONTACT: For further information about the
proposed information collection discussed in this notice, please
contact any of the agency clearance officers whose names appear below.
OCC: Mary H. Gottlieb, OCC Clearance Officer, (202) 874-5090,
Legislative and Regulatory Activities Division, Office of the
Comptroller of the Currency, 250 E Street, SW., Washington, DC 20219.
Board: Michelle E. Shore, Federal Reserve Board Clearance Officer,
(202) 452-3829, Division of Research and Statistics, Board of Governors
of the Federal Reserve System, 20th and C Streets, NW., Washington, DC
20551. Telecommunications Device for the Deaf (TDD) users may call
(202) 263-4869.
FDIC: Gary A. Kuiper, 202.898.3877, Legal Division, Federal Deposit
Insurance Corporation, 550 17th Street, NW., Washington, DC 20429.
OTS: Ira Mills, OTS Clearance Officer, at [email protected],
(202) 906-6531, or facsimile number (202) 906-6518, Regulations &
Legislation Division, Chief Counsel's Office, Office of Thrift
Supervision, 1700 G Street, NW., Washington, DC 20552.
SUPPLEMENTARY INFORMATION: The Banking Agencies are proposing to extend
for three years, without revision, the uniform interagency Transfer
Agent Registration and Amendment Form. 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.
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: 3 registrations, 10 amendments.
Estimated Total Annual Burden: 5 hours.
Board
OMB Number: 7100-0099.
Estimated Number of Respondents: 5 registrations, 10 amendments.
Estimated Total Annual Burden: 8 hours.
FDIC
OMB Number: 3064-0026.
Estimated Number of Respondents: 2 registrations, 13 amendments.
Estimated Total Annual Burden: 5 hours.
OTS
OMB Number: 1550-0118.
Estimated Number of Respondents: 5 registrations, 10 amendments.
[[Page 22186]]
Estimated Total Annual Burden: 8 hours.
General Description of Reports
This information collection is mandatory: 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)) (Board and 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, the
Federal Reserve's Regulation H (section 208.31(a)) and Regulation Y
(section 225.4(d)), as well as 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.
Abstract
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.
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. Unless otherwise afforded confidential treatment pursuant
to Federal law, all comments will become a matter of public record.
Dated: April 5, 2010.
Michele Meyer,
Assistant Director, Legislative and Regulatory Activities Division,
Office of the Comptroller of the Currency.
Board of Governors of the Federal Reserve System, dated: April
20, 2010.
Jennifer J. Johnson,
Secretary of the Board.
Dated at Washington, DC, this 19th day of March 2010.
Federal Deposit Insurance Corporation.
Robert E. Feldman,
Executive Secretary.
Dated: March 29, 2010.
Ira L. Mills,
OTS Clearance Officer, Office of Chief Counsel, Office of Thrift
Supervision.
[FR Doc. 2010-9722 Filed 4-26-10; 8:45 am]
BILLING CODE 4810-33-P; 6210-01-P; 6714-01-P; 6720-01-P