82 FR 21300 - Agency Information Collection Activities: Information Collection Revision; Request for Comment; Uniform Interagency Transfer Agent Registration and Deregistration Forms
DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency Federal Register Volume 82, Issue 86 (May 5, 2017)
Office of the Comptroller of the Currency
Federal Register Volume 82, Issue 86 (May 5, 2017)
| Page Range | 21300-21301 | |
| FR Document | 2017-09049 |
[Federal Register Volume 82, Number 86 (Friday, May 5, 2017)] [Notices] [Pages 21300-21301] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-09049] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF THE TREASURY Office of the Comptroller of the Currency Agency Information Collection Activities: Information Collection Revision; Request for Comment; Uniform Interagency Transfer Agent Registration and Deregistration Forms AGENCY: Office of the Comptroller of the Currency (OCC), Treasury. ACTION: Notice and request for comment. ----------------------------------------------------------------------- SUMMARY: The OCC, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other federal agencies to comment on the revision of an information collection as required by the Paperwork Reduction Act of 1995 (PRA). An agency may not conduct or sponsor, and a respondent is not required to respond to, an information collection unless it displays a currently valid Office of Management and Budget (OMB) control number. The OCC is soliciting comment on a revision to its collection titled ``Uniform Interagency Transfer Agent Registration and Deregistration Forms.'' DATES: Comments must be submitted on or before July 5, 2017. ADDRESSES: Because paper mail in the Washington, DC, area and at the OCC is subject to delay, commenters are encouraged to submit comments by email, if possible. Comments may be sent to: Legislative and Regulatory Activities Division, Office of the Comptroller of the Currency, Attention ``1557-0124, Forms TA-1 and TA-W,'' 400 7th Street SW., Suite 3E-218, Washington, DC 20219. In addition, comments may be sent by fax to 571-465-4326 or by electronic mail to [email protected]. You may personally inspect and photocopy comments at the OCC, 400 7th Street SW., Washington, DC 20219. For security reasons, the OCC requires that visitors make an appointment to inspect comments. You may do so by calling 202-649-6700 or, for persons who are deaf or hard of hearing, TTY, (202) 649-5597. Upon arrival, visitors will be required to present valid government-issued photo identification and submit to security screening in order to inspect and photocopy comments. All comments received, including attachments and other supporting materials, are part of the public record and subject to public disclosure. Do not include any information in your comments or supporting materials that you consider confidential or inappropriate for public disclosure. FOR FURTHER INFORMATION CONTACT: Shaquita Merritt, OCC Clearance Officer, 202-649-5490 or, for persons who are deaf or hard of hearing, TTY, (202) 649-5597, Legislative and Regulatory Activities Division, Office of the Comptroller of the Currency, 400 7th Street SW., Washington, DC 20219. SUPPLEMENTARY INFORMATION: The OCC is proposing to revise the following information collection: Report Title: Uniform Interagency Transfer Agent Registration and Deregistration Forms. Form Numbers: Form TA-1 & TA-W. Frequency of Response: On occasion. Affected Public: National banks and their subsidiaries, federal savings associations and their subsidiaries. OMB Control No.: 1557-0124. Form TA-1 Estimated Number of Respondents: Registrations: 1; Amendments: 10. Estimated Average Time per Response: Registrations: 1.25 hours; Amendments: 10 minutes. Estimated Total Annual Burden: 3 hours. Form TA-W Estimated Number of Respondents: Deregistrations: 2. Estimated Average Time per Response: Registrations: 30 minutes. Estimated Total Annual Burden: 1 hour. Section 17A(c) of the Security Exchange Act of 1934 (the Act) requires all transfer agents for securities registered under section 12 of the Act or, if the security would be required to be registered except for the exemption from registration provided by section 12(g)(2)(B) or section 12(g)(2)(G), to ``fil[e] 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.'' \1\ In general, an entity performing transfer agent functions for a qualifying security is required to register with its appropriate regulatory agency (``ARA''). The OCC's regulations at 12 CFR 9.20 implement these provisions of the Act. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78q-1. --------------------------------------------------------------------------- To accomplish the registration of transfer agents, Form TA-1 was developed in 1975 as an interagency effort by the Securities and Exchange Commission (SEC) and the federal banking agencies (the OCC, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation). The agencies primarily use the data collected on Form TA-1 to determine whether an application for registration should be approved, denied, accelerated, or postponed, and they use the data in connection with their supervisory responsibilities . . . .'' In addition, when a national bank or federal savings association no longer acts as a transfer [[Page 21301]] agent for covered corporate securities or when the national bank or federal savings association is no longer supervised by the OCC, i.e., liquidates or converts to another form of financial institution, the national bank or federal savings association must file Form TA-W with the OCC requesting withdrawal from registration as a transfer agent. In 2007, the OCC removed Form TA-W from this information collection and began use of the SEC's Form TA-W (OMB Control No. 3235-0151). The OCC is now reinstituting use of Form TA-W by national banks and federal savings associations to alleviate any confusion created by the use of the SEC form. The OCC has determined that Forms TA-1 and TA-W are mandatory and that their collection is authorized by sections 17A(c), 17(a)(3), and 23(a)(1) of the Act, as amended (15 U.S.C. 78q-1(c), 78q(a)(3), and 78w(a)(1)). Additionally, section 3(a)(34)(B) of the Act (15 U.S.C. 78c(a)(34)(B)(ii)) provides that the OCC is the ARA in the case of a national banks and federal savings associations and subsidiaries of such institutions. The registrations are public filings and are not considered confidential. The OCC needs the information contained in this collection to fulfill its statutory responsibilities. Section 17A(c) of the Act (15 U.S.C. 78q-1(c)), as amended, provides that all those authorized to transfer securities registered under section 12 of the Act (transfer agents) shall 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 to be necessary or appropriate in furtherance of the purposes of this section.'' Request for Comment All comments received are part of the public record and subject to public disclosure. Comments are invited on: (a) Whether the information collections are necessary for the proper performance of the OCC's functions, including whether the information has practical utility; (b) The accuracy of the OCC's estimates of the burden of the information collections, including the validity of the methodology and assumptions used; (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. Dated: April 27, 2017. Karen Solomon, Deputy Chief Counsel, Office of the Comptroller of the Currency. [FR Doc. 2017-09049 Filed 5-4-17; 8:45 am] BILLING CODE 4810-33-P
![21300 Federal Register / Vol. 82, No. 86 / Friday, May 5, 2017 / Notices
Docket No. Requester Regulation(s) Nature of special permit
The proposed special permit segment would
be treated as a high consequence area with
the implementation of IM. The pipeline seg-
ment was installed prior to 1980.
The proposed special permit area includes
one (1) EPNG interstate pipeline segment of
20-inch diameter pipeline located in San
Juan County in New Mexico. The pipeline op-
erates at a MAOP of 894 psig.
EPNG is owned and operated by the Kinder
Morgan Company.
Authority: 49 U.S.C. 60118 (c)(1) and 49 ‘‘1557–0124, Forms TA–1 and TA–W,’’ Estimated Average Time per
CFR 1.97. 400 7th Street SW., Suite 3E–218, Response: Registrations: 1.25 hours;
Issued in Washington, DC, on May 01, Washington, DC 20219. In addition, Amendments: 10 minutes.
2017, under authority delegated in 49 CFR comments may be sent by fax to 571– Estimated Total Annual Burden: 3
1.97. 465–4326 or by electronic mail to hours.
Alan K. Mayberry, prainfo@occ.treas.gov. Form TA–W
Associate Administrator for Pipeline Safety. You may personally inspect and
Estimated Number of Respondents:
[FR Doc. 2017–09050 Filed 5–4–17; 8:45 am] photocopy comments at the OCC, 400
Deregistrations: 2.
BILLING CODE 4910–60–P 7th Street SW., Washington, DC 20219. Estimated Average Time per
For security reasons, the OCC requires Response: Registrations: 30 minutes.
that visitors make an appointment to Estimated Total Annual Burden: 1
DEPARTMENT OF THE TREASURY inspect comments. You may do so by hour.
calling 202–649–6700 or, for persons Section 17A(c) of the Security
Office of the Comptroller of the who are deaf or hard of hearing, TTY, Exchange Act of 1934 (the Act) requires
Currency (202) 649–5597. Upon arrival, visitors all transfer agents for securities
will be required to present valid registered under section 12 of the Act
Agency Information Collection government-issued photo identification or, if the security would be required to
Activities: Information Collection and submit to security screening in be registered except for the exemption
Revision; Request for Comment; order to inspect and photocopy from registration provided by section
Uniform Interagency Transfer Agent comments. 12(g)(2)(B) or section 12(g)(2)(G), to
Registration and Deregistration Forms All comments received, including ‘‘fil[e] with the appropriate regulatory
AGENCY: Office of the Comptroller of the attachments and other supporting agency . . . an application for
Currency (OCC), Treasury. materials, are part of the public record registration in such form and containing
and subject to public disclosure. Do not such information and documents . . . as
ACTION: Notice and request for comment.
include any information in your such appropriate regulatory agency may
SUMMARY: The OCC, as part of its comments or supporting materials that prescribe as necessary or appropriate in
continuing effort to reduce paperwork you consider confidential or furtherance of the purposes of this
and respondent burden, invites the inappropriate for public disclosure. section.’’ 1 In general, an entity
general public and other federal FOR FURTHER INFORMATION CONTACT:
performing transfer agent functions for a
agencies to comment on the revision of qualifying security is required to register
Shaquita Merritt, OCC Clearance
an information collection as required by with its appropriate regulatory agency
Officer, 202–649–5490 or, for persons
the Paperwork Reduction Act of 1995 (‘‘ARA’’). The OCC’s regulations at 12
who are deaf or hard of hearing, TTY,
(PRA). CFR 9.20 implement these provisions of
(202) 649–5597, Legislative and
An agency may not conduct or the Act.
Regulatory Activities Division, Office of To accomplish the registration of
sponsor, and a respondent is not the Comptroller of the Currency, 400 7th transfer agents, Form TA–1 was
required to respond to, an information Street SW., Washington, DC 20219. developed in 1975 as an interagency
collection unless it displays a currently
SUPPLEMENTARY INFORMATION: The OCC effort by the Securities and Exchange
valid Office of Management and Budget
is proposing to revise the following Commission (SEC) and the federal
(OMB) control number.
information collection: banking agencies (the OCC, the Board of
The OCC is soliciting comment on a
Report Title: Uniform Interagency Governors of the Federal Reserve
revision to its collection titled ‘‘Uniform
Transfer Agent Registration and System, and the Federal Deposit
Interagency Transfer Agent Registration
Deregistration Forms. Insurance Corporation). The agencies
and Deregistration Forms.’’
Form Numbers: Form TA–1 & TA–W. primarily use the data collected on
DATES: Comments must be submitted on Form TA–1 to determine whether an
or before July 5, 2017. Frequency of Response: On occasion. application for registration should be
SRADOVICH on DSK3GMQ082PROD with NOTICES
ADDRESSES: Because paper mail in the Affected Public: National banks and approved, denied, accelerated, or
Washington, DC, area and at the OCC is their subsidiaries, federal savings postponed, and they use the data in
subject to delay, commenters are associations and their subsidiaries. connection with their supervisory
encouraged to submit comments by OMB Control No.: 1557–0124. responsibilities . . . .’’ In addition,
email, if possible. Comments may be Form TA–1 when a national bank or federal savings
sent to: Legislative and Regulatory association no longer acts as a transfer
Activities Division, Office of the Estimated Number of Respondents:
Comptroller of the Currency, Attention Registrations: 1; Amendments: 10. 1 15 U.S.C. 78q–1.
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![Federal Register / Vol. 82, No. 86 / Friday, May 5, 2017 / Notices 21301
agent for covered corporate securities or statutory responsibilities. Section (d) Ways to minimize the burden of
when the national bank or federal 17A(c) of the Act (15 U.S.C. 78q–1(c)), information collections on respondents,
savings association is no longer as amended, provides that all those including through the use of automated
supervised by the OCC, i.e., liquidates authorized to transfer securities collection techniques or other forms of
or converts to another form of financial registered under section 12 of the Act information technology; and
institution, the national bank or federal (transfer agents) shall register ‘‘by filing (e) Estimates of capital or start-up
savings association must file Form TA– with the appropriate regulatory agency costs and costs of operation,
W with the OCC requesting withdrawal . . . . an application for registration in maintenance, and purchase of services
from registration as a transfer agent. In such form and containing such to provide information.
2007, the OCC removed Form TA–W information and documents . . . . as Dated: April 27, 2017.
from this information collection and such appropriate regulatory agency may Karen Solomon,
began use of the SEC’s Form TA–W prescribe to be necessary or appropriate
(OMB Control No. 3235–0151). The OCC Deputy Chief Counsel, Office of the
in furtherance of the purposes of this Comptroller of the Currency.
is now reinstituting use of Form TA–W section.’’
[FR Doc. 2017–09049 Filed 5–4–17; 8:45 am]
by national banks and federal savings
associations to alleviate any confusion Request for Comment BILLING CODE 4810–33–P
created by the use of the SEC form. All comments received are part of the
The OCC has determined that Forms public record and subject to public
TA–1 and TA–W are mandatory and disclosure. Comments are invited on: DEPARTMENT OF VETERANS
that their collection is authorized by
(a) Whether the information AFFAIRS
sections 17A(c), 17(a)(3), and 23(a)(1) of
collections are necessary for the proper
the Act, as amended (15 U.S.C. 78q– Amended: Advisory Committee on
performance of the OCC’s functions,
1(c), 78q(a)(3), and 78w(a)(1)). Homeless Veterans, Notice of Meeting
Additionally, section 3(a)(34)(B) of the including whether the information has
Act (15 U.S.C. 78c(a)(34)(B)(ii)) provides practical utility; The Department of Veterans Affairs
that the OCC is the ARA in the case of (b) The accuracy of the OCC’s (VA) gives notice under the Federal
a national banks and federal savings estimates of the burden of the Advisory Committee Act, 5 U.S.C. App.
associations and subsidiaries of such information collections, including the 2., that the Advisory Committee on
institutions. The registrations are public validity of the methodology and Homeless Veterans will meet May 10–
filings and are not considered assumptions used; May 12, 2017 at various locations in
confidential. (c) Ways to enhance the quality, Washington DC. This notice is amended
The OCC needs the information utility, and clarity of the information to to reflect a change in the meeting time
contained in this collection to fulfill its be collected; and location.
Date Time Location
May 10, 2017 .................................. 8:00 a.m.–5:00 p.m. ...................... 810 Vermont Avenue NW., Conference Room 530, Washington, DC
20420.
* May 11, 2017 ................................ 8:20 a.m.–4:45 p.m. ...................... American Legion Headquarters, Main Conference Room, 1608 K
Street NW., Washington, DC 20006.
May 12, 2017 .................................. 8:00 a.m.–12:00 p.m. .................... 810 Vermont Avenue NW., Conference Room 530, Washington, DC
20420.
Note: The asterisk (*) reflects the new meeting time and location.
The meeting sessions are open to the Homeless Veterans and will then There will also be a call-in number at 1–
public. discuss topics for its upcoming annual 800–767–1750; Access Code: 79421#.
The purpose of the Committee is to report and recommendations to the Because the meeting is being held in a
provide the Secretary of Veterans Affairs Secretary of Veterans Affairs. government building, a photo I.D. must
with an on-going assessment of the No time will be allocated at this be presented at the Guard’s Desk as a
effectiveness of the policies, meeting for receiving oral presentations part of the clearance process. Due to an
organizational structures, and services from the public. Interested parties increase in security protocols, and in
of VA in assisting Veterans at-risk and should provide written comments on order to prevent delays in clearance
experiencing homelessness. The issues affecting Veterans at-risk and processing, you should allow an
Committee shall assemble and review experiencing homelessness for review additional 30 minutes before the
information related to the needs of by the Committee to Anthony Love, meeting begins. Attendees who require
homeless Veterans and provide advice Designated Federal Officer, VHA reasonable accommodation should state
on the most appropriate means of Homeless Programs Office (10NC1), so in their requests.
providing assistance to that subset of the Department of Veterans Affairs, 90 K
Veteran population. The Committee will Street Northeast, Washington, DC, or via Dated: May 2, 2017.
make recommendations to the Secretary email at Anthony.Love@va.gov. Jelessa M. Burney,
SRADOVICH on DSK3GMQ082PROD with NOTICES
regarding such activities. Members of the public who wish to Federal Advisory Committee Management
The agenda will include briefings attend in-person should contact both Officer.
from officials at VA and other agencies Charles Selby and Timothy Underwood [FR Doc. 2017–09134 Filed 5–4–17; 8:45 am]
regarding services for homeless of the VHA Homeless Program Office by BILLING CODE P
Veterans. The Committee will also April 25, 2017, at Charles.Selby@va.gov
receive a briefing on the annual report and Timothy.Underwood@va.gov, while
that was developed after the last providing their name, professional
meeting of the Advisory Committee on affiliation, address, and phone number.
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Document Created: 2018-11-08 08:39:50
Document Modified: 2018-11-08 08:39:50
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| Action | Notice and request for comment. | |
| Dates | Comments must be submitted on or before July 5, 2017. | |
| Contact | Shaquita Merritt, OCC Clearance Officer, 202-649-5490 or, for persons who are deaf or hard of hearing, TTY, (202) 649-5597, Legislative and Regulatory Activities Division, Office of the Comptroller of the Currency, 400 7th Street SW., Washington, DC 20219. | |
| FR Citation | 82 FR 21300 |
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