Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 18
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100format changes include drop down data blocks that allow the filer to insert additional
information to a question (instead of using attached sheets, schedules, or supplements), data
fields that are designated as required fields, radio buttons that limit the filer to specific
answers to a question, and hidden data fields for questions that are not applicable to the
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filer.
Filers that submit the information reported on the forms without using EDGARLite
will not be affected by these amendments.
2.
Amendments to Form TA-1 and Instructions
i. The instructions are amended to require a registered transfer agent to file an
amended Form TA-1 in electronic format before it can file a Form TA-2 or Form
TA-W in electronic format.
ii. A feature is added to allow the transfer agent to designate a filing as an amended
filing. The instructions are amended to reflect this feature.
iii. Question 2, “Filing Status,” is deleted because the question is moved to the top
section of the form.
iv. Question 6, “Service Companies Engaged by the Filer,” is amended to request the
file number of the service company. The purpose of this amendment is to enable
the Commission or other interested parties to confirm the identity of the service
company engaged by the filer.
v. Question 7, “Filer Engaged as a Service Company by a Named Transfer Agent,”
is amended to request the file number of the named transfer agent. The purpose
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Filers can view the blank form in its entirety by checking the box at the top of the form
that expands the form to show all fields. Filers can also print the blank form using this
mechanism.
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