OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

Notice Claiming Status as an Exempt Transfer Agent

OMB 7100-0137 ยท FRS.

OMB 7100-0137

Transfer agents, which are institutions that provide securities transfer, registration, monitoring, and other specified services on behalf of securities issuers, are generally subject to certain Securities and Exchange Commission (SEC) regulations. However, a transfer agent that is regulated by and registered with the Board (a Board-regulated transfer agent) may request an exemption from those regulations if it transfers and processes a low volume of securities (a low-volume transfer agent). A transfer agent is Board-regulated if it is a state member bank or a subsidiary thereof, a bank holding company (BHC), or a savings and loan holding company (SLHC). A Board-regulated transfer agent may request an exemption from the SEC regulations by filing with the Board a notice (exemption notice) certifying that it qualifies as a low-volume transfer agent. In addition, a Board-regulated low-volume transfer agent that no longer meets the requirements of being a low-volume transfer agent must notify the Board of that fact.

The latest form for Notice Claiming Status as an Exempt Transfer Agent expires 2026-09-30 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Supporting Statement A
All Historical Document Collections
Approved without change
 Extension without change of a currently approved collection 2022-09-29
Approved without change
 Revision of a currently approved collection 2019-09-25
Approved without change
 No material or nonsubstantive change to a currently approved collection 2019-09-25
Approved without change
 Extension without change of a currently approved collection 2016-06-29
Approved without change
 Revision of a currently approved collection 2013-06-29
Approved without change
 Extension without change of a currently approved collection 2010-06-22
Approved without change
 No material or nonsubstantive change to a currently approved collection 2010-03-24
Approved without change
 Extension without change of a currently approved collection 2007-06-15
Approved without change
 No material or nonsubstantive change to a currently approved collection 2007-05-30
Approved without change
 Extension without change of a currently approved collection 2004-06-18
Approved without change
 No material or nonsubstantive change to a currently approved collection 2004-02-04
Approved without change
 No material or nonsubstantive change to a currently approved collection 2001-05-23
Approved without change
 Extension without change of a currently approved collection 2001-05-31
Approved without change
 Extension without change of a currently approved collection 1998-05-18
Approved with change
 No material or nonsubstantive change to a currently approved collection 1998-01-14
Approved without change
 Extension without change of a currently approved collection 1995-02-21
Approved with change
 No material or nonsubstantive change to a currently approved collection 1994-07-28
Approved without change
 Extension without change of a currently approved collection 1993-04-23
Approved without change
 Revision of a currently approved collection 1990-09-13
Approved with change
 No material or nonsubstantive change to a currently approved collection 1990-07-10
Approved with change
 No material or nonsubstantive change to a currently approved collection 1989-06-06
Approved without change
 Revision of a currently approved collection 1987-10-02
Approved with change
 No material or nonsubstantive change to a currently approved collection 1984-08-14
Approved with change
 No material or nonsubstantive change to a currently approved collection 1984-07-10
Approved without change
 Revision of a currently approved collection 1984-05-09
Approved without change
 Extension without change of a currently approved collection 1981-10-29
Approved without change
 Revision of a currently approved collection 1981-04-30
OMB Details

Exemption notice

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight