Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 13
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100agents are registered and are operating in conformance with the requirements under Section 17A of
the Act.
For these reasons, we are adopting the amendments to Rules 17Ac2-1, 17Ac2-2, and 17Ac3-
1 to require electronic filing substantially as proposed.
B.
Amendments to Regulation S-T
The Commission proposed to amend Regulation S-T to mandate the submission of the
transfer agent forms in electronic format and to exclude the transfer agent forms from the
applicability of Rule 104, and Rule 201. The Commission did not receive any comments on the
proposed amendments to Regulation S-T and we are adopting them as proposed.
1.
Rule 101(a), Mandated Electronic Submissions
Rule 101(a) of Regulation S-T lists the filings that must be submitted to the Commission in
27
electronic format.
The Commission is amending Rule 101(a) to mandate that Form TA-1, Form
TA-2, and Form TA-W be submitted to the Commission in electronic format.
2.
Rule 104, Unofficial PDF Copies Included in an Electronic Submission
Rule 104 of Regulation S-T provides that an electronic submission may include one
unofficial portable document format ("PDF") copy of each electronic document contained within a
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submission, tagged in the format required by the EDGAR Filer Manual.
The purpose of this rule is
to allow filers to provide a copy of their submission in a format that creates a structured, easy to read
document for public dissemination.
The electronic transfer agent forms are easy to read in the format in which they are
submitted, and it will be unnecessary to have a PDF version of the forms submitted. Additionally,
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17 CFR 232.101(a).
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17 CFR 232.104(a).
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