[Federal Register Volume 80, Number 18 (Wednesday, January 28, 2015)]
[Notices]
[Page 4598]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-01511]


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SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; Comment Request

    Upon Written Request, Copies Available From: Securities and 
Exchange Commission, Office of FOIA Services, Washington, DC 20549-
2736.

Extension:
    Rule 17Ac2-1, SEC File No. 270-95, OMB Control No. 3235-0084.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995(``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget (``OMB'') a request for approval of extension of the 
existing collection of information provided for in Rule 17Ac2-1 (17 CFR 
240.17Ac2-1) under the Securities Exchange Act of 1934 (15 U.S.C. 78a 
et seq.) (``Exchange Act'').
    Rule 17Ac2-1, pursuant to Section 17A(c) of the Exchange Act, 
generally requires transfer agents for whom the Commission is the 
transfer agent's Appropriate Regulatory Agency (``ARA''), to file an 
application for registration with the Commission on Form TA-1 and to 
amend their registrations under certain circumstances.
    Specifically, Rule 17Ac2-1 requires transfer agents to file a Form 
TA-1 application for registration with the Commission where the 
Commission is their ARA. Such transfer agents must also amend their 
Form TA-1 if the existing information on their Form TA-1 becomes 
inaccurate, misleading, or incomplete within 60 days following the date 
the information became inaccurate, misleading or incomplete. 
Registration filings on Form TA-1 and amendments thereto must be filed 
with the Commission electronically, absent an exemption, on EDGAR 
pursuant to Regulation S-T (17 CFR 232).
    The Commission annually receives approximately 174 filings on Form 
TA-1 from transfer agents required to register as such with the 
Commission. Included in this figure are approximately 164 amendments 
made annually by transfer agents to their Form TA-1 as required by Rule 
17Ac2-1(c) to address information that has become inaccurate, 
misleading, or incomplete and approximately 10 new applications by 
transfer agents for registration on Form TA-1 as required by Rule 
17Ac2-1(a). Based on past submissions, the staff estimates that on 
average approximately twelve hours are required for initial completion 
of Form TA-1 and that on average one and one-half hours are required 
for an amendment to Form TA-1 by each such firm. Thus, the subtotal 
burden for new applications for registration filed on Form TA-1 each 
year is 120 hours (12 hours times 10 filers) and the subtotal burden 
for amendments to Form TA-1 filed each year is 246 hours (1.5 hours 
times 164 filers). The cumulative total is 366 burden hours per year 
(120 hours plus 246 hours).
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information under the PRA unless it 
displays a currently valid OMB control number.
    The public may view background documentation for this information 
collection at the following Web site: www.reginfo.gov. Comments should 
be directed to: (i) Desk Officer for the Securities and Exchange 
Commission, Office of Information and Regulatory Affairs, Office of 
Management and Budget, Room 10102, New Executive Office Building, 
Washington, DC 20503 or by sending an email to: 
<a href="/cdn-cgi/l/email-protection#c89ba0a9afbdaebca99789a0a5adac88a7a5aae6ada7b8e6afa7be"><span class="__cf_email__" data-cfemail="d380bbb2b4a6b5a7b28c92bbbeb6b793bcbeb1fdb6bca3fdb4bca5">[email protected]</span></a>; and (ii) Pamela Dyson, Acting Director/
Chief Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549, or by sending an 
email to: <a href="/cdn-cgi/l/email-protection#cd9d9f8c9280aca4a1afa2b58dbea8aee3aaa2bb"><span class="__cf_email__" data-cfemail="8ddddfccd2c0ece4e1efe2f5cdfee8eea3eae2fb">[email protected]</span></a>. Comments must be submitted to OMB within 
30 days of this notice.

    Dated: January 22, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-01511 Filed 1-27-15; 8:45 am]
BILLING CODE 8011-01-P


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