7. (a) In accordance with instruction 19, list on Schedule B issues 8: industry: transfer (b) Does Schedule B include only securities registered pursuant to Section 12 of the Act, or securities which would be required to be registered except for the exemption from registration containeċ in subsection (g)(2)(B) or (g) (2) (G) of Section 12 of the Act? No L Yes (c) State the total number of issues serviced as a transfer agent which are not set forth in Schedule B. If registrant is not a bank insured by the Federal Deposit Insurance (a) Are the registrant's transfer agent activities subject to regulation by an agency of a state or political subdivision: (If yes, specify name of agency). Yes No Name of State or Political Subdivision Name of Agency (b) Have the registrant's transfer agent activities been the Name of State or Political Subdivision Name of Agency Yes No 9.(a) Is registrant audited by an independent public accountant? (b) If registrant is audited by an independent public accountant, does the audit include a review of internal controls related to transfer agent activities? Yes No Li L 10. (a) How many full-time and part-time employees does registrant have engaged in transfer agent activities? (b) How many years has registrant performed transfer agent activities? (c) Indicate the average monthly number of certificates registrant 11. (a) With regard to transfer agent activities, provide the following information regarding the type of insurance carried or provided: (b) If registrant's transfer activities are not covered by any Yes has provision been made for self-insurance? insurance, If yes, indicate on Schedule A the provisions made for self- 12. (a) What are registrant's internal policies and procedures for recon- (b) Indicate, as of September 30, 1975, the number of issues, if any, An out-of-proof condition exists if the total number of all securities SCHEDULE A OF FORM TA-1 1. Full name of Registrant exactly as stated in Item 2(a) of Form TA-1. 2. Item of Form (Identify) Answer SCHEDULE B List issues serviced as transfer agent, co-transfer agent, registrar or co-registrar. For each issue provide the following information: (See Instructions 19, 20 and 21 before completing this Schedule) 17 Transfer Agent ties previously 17 Co-transfer Agent Schedule B This is a deletion of CHECK ONE 1/ For purposes of this Schedule B, the terms transfer agent and co-transfer agent include the person performing similar functions with respect to debt securities and the terms registrar and co-registrar include the person performing similar functions with respect to debt securities. 90-052-77-15 Subpart D-Procedures Applicable to Other Than Regular Full-Time Bank Employees and Certain Related Standards of Conduct Sec. 400.735-40 Procedures governing appointment and utilization. 400.735-41 Standards of conduct for persons appearing before the Bank other than as officers or employees of the Bank. 400.735-42 Standards of conduct applicable to special Government employees. Subpart E-Procedures for Submission of Statements of Employment and Financial Interests 400.735-50 Applicability. 400.735-51 Time and place for submission. 400.735-52 Form of statements. 400.735-53 Confidentiality of employees' statements. 400.735-54 Effect of employees' statements on other requirements. 400.735-55 Review of statements and remedial action. Subpart F-Employee Report of Securities Transactions |