8: 7. (a) In accordance with instruction 19, list on Schedule B issues serviced as transfer agent in the following capacities, as these terms are commonly used in the transfer agent industry: transfer agent, co-transfer agent, registrar or co-registrar. (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 contained in subsection (g)(2)(B) or (g) (2) (G) of Section 12 of the Act? Yes/ No LI (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. (I£ yes, specify name of agency). Yes No L 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? O (b) If registrant is audited by an independent public accountant, does Yes No Li 10. (a) How many full-time and part-time employees does registrant have (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 insurance, has provision been made for self-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 [40 FR 50510, Oct. 30, 1975, as amended at 42 FR 65572, Dec. 30, 1977) Section for amendments changing the capacity in which issues are serviced or the name of the issuer: SEC 1220 412-771 [40 FR 50510, Oct. 30, 1975, as amended at 42 FR 65572, Dec. 30, 1977] PART 342-APPLICATIONS FOR A STAY OR REVIEW OF ACTIONS OF BANK CLEARING AGENCIES Sec. 342.1 Scope of part. 342.2 Applications for stays of disciplinary sanctions or summary suspensions by a bank clearing agency. 342.3 Applications for review of final disciplinary sanctions, denials of participation, or prohibitions or limitations of access to services imposed by bank clearing agencies. AUTHORITY: Secs. 1A, 19 and 23 of the Securities Exchange Act of 1934; 15 U.S.C. 78q-1, 78s and 78w. SOURCE: 42 FR 19325, Apr. 13, 1977, unless otherwise noted. § 342.1 Scope of part. This part is ussued by the Federal Deposit Insurance Corporation (the "Corporation") pursuant to sections 17A, 19 and 23 of the Securities Exchange Act of 1934 as amended (15 U.S.C. 780 (the "Act"). It applies to applications by banks insured by the Corporation (other than members of the Federal Reserve System) for a stay or review of certain actions by clearing agencies registered under the Act for which the Securities and Exchange Commission is not the appropriate regulatory agency under section 3(a)(34)(B) of the Act (“bank clearing agencies"). 342.2 Applications for stays of disciplin ary sanctions or summary suspensions by a bank clearing agency. If any bank clearing agency imposes any final disciplinary sanction purusant to section 17A(b)(3)(G) of the Act, or summarily suspends or limits or prohibits access pursuant to section 17A(b)(5)(C) of the Act, any person aggrieved thereby for which the Corporation is the appropriate regulatory agency may file with the Corporation, by telegram or otherwise, a request for a stay of imposition of such action. Such request shall be in writing and shall include a statement as to why such stay should be granted. § 342.3 Applications for review of final disciplinary sanctions, denials of participation, or prohibitions or limitations of access to services imposed by bank clearing agencies. (a) Proceedings on an application to the Corporation under section 19(d)(2) of the Act for review of any final disciplinary sanction, denial or conditioning of participation, or prohibition or limitation with respect to access to services offered by a bank clearing agency shall be governed by this section. (b) An application for review pursuant to section 19(d)(2) of the Act shall be filed with the Corporation within 30 days after notice thereof was filed pursuant to section 19(d)(1) of the Act and received by the aggrieved person applying for review, or within such longer period as the Corporation may determine. The Executive Secretary of the Corporation shall serve a copy of the application on the bank clearing agency, which shall, within ten days after receipt of the application, certify and file with the Corporation one copy of the record upon which the action complained of was taken, together with three copies of an index to such record. The Executive Secretary shall serve upon the parites copies of such index and any papers subsequently filed. (c) Within 20 days after receipt of copy of the index, the applicant shall file a brief or other statement in support of his application which shall state the specific grounds on which the application is based, the particular findings of the bank clearing agency to which objection is taken and the relief sought. Any application not perfected by such timely brief or statement may be dismissed as abandoned. (d) Within 20 days after receipt of the applicant's brief or statement the bank clearing agency may file an answer thereto, and within 10 days of receipt of any such answer the applicant may file a reply. Any such papers not filed within the time provided by paragraphs (b), (c), or (d) of this section will not be received except upon special permission of the Corporation. (e) On its own motion, the Corporation may direct that the record under |