Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission
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100SECURITIES AND EXCHANGE COMMISSION
17 CFR Parts 232, 239, 240, 249, 249b, 269, and 274
[Release No. 34-54864; File No. S7-14-06]
RIN 3235-AJ68
ELECTRONIC FILING OF TRANSFER AGENT FORMS
AGENCY: Securities and Exchange Commission.
ACTION: Final rule.
SUMMARY: The Securities and Exchange Commission ("Commission") is adopting amendments
to the rules and forms under Section 17A of the Securities Exchange Act of 1934 (“Act”) to require
that the forms filed with respect to transfer agent registration, annual reporting, and withdrawal from
registration be filed with the Commission electronically. The forms will be filed on the
Commission’s EDGAR database in XML format and will be accessible to Commission staff and the
public for search and retrieval. The amendments will improve the Commission’s ability to utilize
the information reported on the forms in performing its oversight function of transfer agent
operations and to publicly disseminate the information on the forms.
EFFECTIVE DATE: January 11, 2007.
FOR FURTHER INFORMATION CONTACT: Jerry Carpenter, Assistant Director, or Catherine
Moore, Special Counsel, Office of Clearance and Settlement, Division of Market Regulation,
Securities and Exchange Commission, 100 F Street, NE, Washington, DC, 20549-6628 or at (202)
551-5710. For assistance with technical questions about EDGAR, call the EDGAR Filer Support
Office at (202) 551-8900.
SUPPLEMENTARY INFORMATION:
I. INTRODUCTION
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