Transfer Agent's Annual Report 17 CFR 240.17Ac2-2, Form TA-2

Forms and Documents

Document Name	Status
Form TA-2 Transfer Agent's Annual Report 17 CFR 240.17Ac2-2, Form TA-2 Form and Instruction	Modified
TA-2 Paper Form (10.06).doc Supplementary Document	2006-10-24
27Ac2-2 Just (10.06).doc Supporting Statement A	2006-10-24

IC Document Collections

IC ID	Document Title	Status
44223	Transfer Agent's Annual Report 17 CFR 240.17Ac2-2, Form TA-2 Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0337	ICR Reference No: 200610-3235-010
Status: Historical Inactive	Previous ICR Reference No: 200606-3235-004
Agency/Subagency: SEC	Agency Tracking No: 270-298
Title: Transfer Agent's Annual Report 17 CFR 240.17Ac2-2, Form TA-2
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Preapproved	Conclusion Date: 12/28/2006
	Date Received in OIRA: 10/24/2006
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2009	36 Months From Approved	09/30/2009
Responses	266	0	786
Time Burden (Hours)	532	0	2,454
Cost Burden (Dollars)	53,200	0	0

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Abstract: Rule 17Ac2-2 requires that transfer agents registered either with the Commission or with another appropriate regulatory authority file a Form TA-2 with the Commission each year which reports their annual transfer agent activities.

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Authorizing Statute(s): US Code: 15 USC 78q-1 Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78w(a) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: US Code: 17 USC 78q Name of Law: Securities Exchange Act of 1934
US Code: 17 USC 78q-1 Name of Law: Securities Exchange Act of 1934
US Code: 17 USC 78w(a) Name of Law: Securities Exchange Act of 1934

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AJ68	Proposed rulemaking	71 FR 53494	09/11/2006

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Transfer Agent's Annual Report 17 CFR 240.17Ac2-2, Form TA-2	TA-2	Annual Report of Transfer Agent Activities

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	266	786	0	0	-520	0
Annual Time Burden (Hours)	532	2,454	0	0	-1,922	0
Annual Cost Burden (Dollars)	53,200	0	0	0	53,200	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

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Annual Cost to Federal Government: $1,500

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 10/24/2006

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