Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 22
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100The Commission did not receive any comments to the proposed amendments to Form
ID and is adopting them as proposed.
IV. PAPERWORK REDUCTION ACT
Certain provisions of the amendments to the rules and forms contain "collection of
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information requirements" within the meaning of the Paperwork Reduction Act of 1995.
We
published a notice requesting comment on the collection of information requirements in the
proposing release and submitted these requirements to the Office of Management and Budget
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(“OMB”) for review.
These requests are pending before the OMB. When we receive OMB
clearance, we will publish notice in the Federal Register. We did not receive any comments on the
Paperwork Reduction Act analysis contained in the proposing release.
An agency may not conduct or sponsor, and a person is not required to respond to, a
collection of information unless it displays a currently valid control number. The amendments
would require Form TA-1, Form TA-2, and Form TA-W, which are currently filed with the
Commission in paper form, to be filed electronically on EDGAR. The Commission collects this
information pursuant to its authority under Section 17A of the Act and uses the information collected
on the forms in determining whether to allow a transfer agent to register or to withdraw from
registration and also uses the information in monitoring the annual activities of transfer agents. The
information filed on the Form TA-1, Form TA-2, and Form TA-W is publicly available and is used
by the public to locate, research, and confirm the registration of transfer agents.
The respondents to the collection of information are the registered transfer agents that file
Form TA-1, Form TA-2, and Form TA-W with the Commission. Only transfer agents for whom the
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44 U.S.C. 3501 et seq.
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Publication and submission were in accordance with 44 U.S.C. 3507(d) and 5 CFR
1320.1.
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