[Federal Register Volume 72, Number 127 (Tuesday, July 3, 2007)]
[Notices]
[Pages 36545-36547]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 07-3226]


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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


Agency Information Collection Activities: Submission for OMB 
Review; 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: Notice of information collections to be submitted to OMB for 
review and approval under the Paperwork Reduction Act.

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SUMMARY: In accordance with the requirements of the Paperwork Reduction 
Act of 1995 (44 U.S.C. chapter 35), the OCC, the Board, the FDIC, and 
the OTS (the ``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. On April 6, 2007, the agencies published a notice 
requesting public comment for sixty days on the extension, with 
revision, of the Transfer Agent Registration and Amendment Form (TA-1). 
In addition, OTS seeks to implement an amendment to section 3(a)(34) of 
the Securities Exchange Act of 1934 (the Act), pursuant to a provision 
of the Financial Services Regulatory Relief Act of 2006 (FSRRA), 
enacted on October 13, 2006. This implementation would institute the 
use of the TA-1 for savings associations intending to engage in 
transfer agent activities. Currently, the OCC, FDIC, and OTS are 
soliciting comment concerning the extension, with revision, of the 
Transfer Agent Registration and Amendment Form. The Board has approved 
this information collection under its delegated authority from OMB.

DATES: Comments must be submitted on or before August 2, 2007.

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, 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 
<a href="/cdn-cgi/l/email-protection#592b3c3e2a773a3634343c372d2a19363a3a772d2b3c382a773e362f"><span class="__cf_email__" data-cfemail="4e3c2b293d602d2123232b203a3d0e212d2d603a3c2b2f3d60292138">[email protected]</span></a>. You can inspect and photocopy comments at 
the OCC's Public Information Room, 250 E Street, SW., Washington, DC 
20219. You can make an appointment to inspect comments by calling (202) 
874-5043.
    Board: You may submit comments, which should refer to FR TA-1, 
7100-0099, by any of the following methods:
    <bullet> Agency Web Site: http://www.federalreserve.gov. Follow the 
instructions for submitting comments on the http://www.federalreserve.gov/generalinfo/foia/ProposedRegs.cfm.
    <bullet> Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
    <bullet> E-mail: <a href="/cdn-cgi/l/email-protection#e092858793ce838f8d8d858e9493a08685848592818c92859385929685ce878f96"><span class="__cf_email__" data-cfemail="addfc8cade83cec2c0c0c8c3d9deedcbc8c9c8dfccc1dfc8dec8dfdbc883cac2db">[email protected]</span></a>. Include the OMB 
control number for this information collection in the subject line of 
the message.
    <bullet> Fax: 202-452-3819 or 202-452-3102.
    <bullet> 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 
http://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:
    <bullet> http://www.FDIC.gov/regulations/laws/federal/notices.html.
    <bullet> E-mail: <a href="/cdn-cgi/l/email-protection#d1b2bebcbcb4bfa5a29197959892ffb6bea7"><span class="__cf_email__" data-cfemail="0764686a6a626973744741434e4429606871">[email protected]</span></a>. Include ``Transfer Agent 
Registration and Amendment Form, 3064-0026'' in the subject line of the 
message.
    <bullet> Mail: Steven F. Hanft (202-898-3907), Clearance Officer, 
Attn: Comments, Federal Deposit Insurance Corporation, 550 17th Street, 
NW., Washington, DC 20429.
    <bullet> 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. Comments may be inspected 
at the FDIC Public Information Center, Room E-1002, 3501 Fairfax Drive, 
Arlington, VA 22226, between 9 a.m. and 5 p.m. on business days.
    OTS: You may submit comments, identified by ``1550-NEW (Form TA-
1),'' by any of the following methods:
    <bullet> E-mail address: <a href="/cdn-cgi/l/email-protection#0c65626a636f636060696f78656362226f6361616962787f4c63787f22787e696d7f226b637a"><span class="__cf_email__" data-cfemail="224b4c444d414d4e4e4741564b4d4c0c414d4f4f474c5651624d56510c56504743510c454d54">[email protected]</span></a>. 
Please include ``1550-NEW (Form TA-1)'' in the subject line of the 
message and include your name and telephone number in the message.
    <bullet> Fax: (202) 906-6518.
    <bullet> Mail: Information Collection Comments, Chief Counsel's 
Office, Office of Thrift Supervision, 1700 G Street, NW., Washington, 
DC 20552, Attention: ``1550-NEW (Form TA-1)''
    <bullet> 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-NEW (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

[[Page 36546]]

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 
<a href="/cdn-cgi/l/email-protection#261a47064e5443401b" http: public.info">public.info</a>@ots.treas.gov">public.info@ots.treas.gov</a>, 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 listed below.
    OCC: Mary 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: Steven F. Hanft, Clearance Officer, (202) 898-3907, Legal 
Division, Federal Deposit Insurance Corporation, 550 17th Street, NW., 
Washington, DC 20429.
    OTS: Marilyn K. Burton, OTS Clearance Officer, at 
<a href="/cdn-cgi/l/email-protection#d3beb2a1babfaabdfdb1a6a1a7bcbd93bca7a0fda7a1b6b2a0fdb4bca5"><span class="__cf_email__" data-cfemail="650804170c091c0b4b071017110a0b250a11164b11170004164b020a13">[email protected]</span></a>, (202) 906-6467, or facsimile number (202) 
906-6518, Litigation Division, Chief Counsel's Office, Office of Thrift 
Supervision, 1700 G Street, NW., Washington, DC 20552.

SUPPLEMENTARY INFORMATION: The agencies, other than the Federal 
Reserve, are proposing to extend for three years, with 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. The Federal Reserve, under its delegated 
authority from OMB, has approved the extension for three years, with 
revision, of this information collection.
    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

    On October 13, 2006, the President signed the FSRRA into law. One 
of the provisions of the FSRRA contains an amendment to section 
3(a)(34) of the Securities Exchange Act of 1934. Section 3(a)(34) of 
the Act defines ``appropriate regulatory agency'' and includes OTS as 
an appropriate regulatory agency for certain activities, thus 
authorizing OTS to collect certain information. Therefore, OTS is 
seeking OMB approval for this new collection of information.
    OMB Number: 1550-NEW.
    Estimated Number of Respondents: 5 registrations, 10 amendments.
    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)) (OCC, Board, FDIC, and OTS). 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.

Current Actions

    Currently, the TA-1 instructions direct respondents who are 
submitting amended data to complete the entire reporting form. The 
agencies propose to revise the instructions to state that respondents 
who are filing amended data would be required to complete questions 1, 
2, and 3 (appropriate regulatory agency, filing status, and full name 
of registrant organization, respectively) and, additionally, only those 
data items that are inaccurate, incomplete, or misleading. This would 
make filing an amended TA-1 easier for respondents and better highlight 
the data that has been changed.
    OTS seeks OMB approval to institute use of the TA-1 for savings 
associations intending to engage in transfer agent activities.
    On April 6, 2007, the agencies published a notice in the Federal 
Register (72 FR 17222) requesting public comment for sixty days; the 
comment period for this notice expired on June 5, 2007. The agencies 
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;

[[Page 36547]]

    (c) Ways to enhance the quality, utility, and clarity of the 
information to be collected;
    (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; and
    (e) Estimates of capital or start up costs and costs of operation, 
maintenance, and purchase of services to provide information.
    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: June 20, 2007.
Karen Solomon,
Director, Legislative and Regulatory Activities Division, Office of the 
Comptroller of the Currency.
    Board of Governors of the Federal Reserve System, June 27, 2007.
Jennifer J. Johnson,
Secretary of the Board.
    Dated at Washington, DC., this 25th day of June, 2007.

    Federal Deposit Insurance Corporation.
Robert E. Feldman,
Executive Secretary.
    Dated: June 22, 2007.
Deborah Dakin,
Senior Deputy Chief Counsel, Regulations and Legislation Division, 
Office of Thrift Supervision.
[FR Doc. 07-3226 Filed 7-2-07; 8:45 am]
BILLING CODE 4810-33-P (\1/4\); 6210-01-P (\1/4\); 6714-01-P (\1/4\); 
6720-01-P (1/4)


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