Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 19
ADVERTISEMENT
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100of this amendment is to enable the Commission or other interested parties to
confirm the identity of the named transfer agent.
vi. Form TA-1 Supplement, “Control Person Information” for Corporations
(Schedule A), Partnerships (Schedule B), and Other Entities (Schedule C), is
integrated into the form as Questions 8 through 10.
vii. Form TA-1 Supplement, “Control Person Information,” is amended to delete
Schedule D because Schedule D is a blank sheet that provides additional space for
responses and is not necessary in the electronic form.
viii. Form TA-1 Supplement, “Control Person Information” for Corporations
(Schedule A), Partnerships (Schedule B), and Other Entities (Schedule C)
currently requests the social security number of control persons. We are
amending this question to delete the request for the social security number
because of privacy concerns in light of the fact that the forms will be available for
public dissemination through EDGAR.
ix. Form TA-1 Supplement, “Control Person Information” for Corporations
(Schedule A), Partnerships (Schedule B), and Other Entities (Schedule C), is
amended to delete the ADD, AMEND, and DELETE Columns. Transfer agents
will instead provide the beginning date of the relationship with the control person
and the ending date of the relationship.
x. Instruction II, Special Instructions for Filing and Amending Form TA-1, currently
provides that the Financial Industry Number Standard (“FINS”) number assigned
by The Depository Trust Company (“DTC”) may be obtained free of charge by
submitting a request to DTC’s New York city mailing address. We are amending
19
ADVERTISEMENT
0 votes
Related Articles
Related forms
Form Id - Uniform Application For Access Codes To File On Edgar - U.s. Securities And Exchange Commission
Legal
Form Id - Uniform Application For Access Codes To File On Edgar - U.s. Securities And Exchange Commission Washington, Dc
Business
Form S-3 - Registration Statement Under The Securities Act Of 1933 - United States Securities And Exchange Commission
Legal
Guidance Update No.2013-07 - Business Development Companies-separate Financial Statements Or Summarized Financial Information Of Certain Subsidiaries - Us Securities And Exchange Commission
Legal
Form N-8b-4 - Registration Statement Of Face-amount Certificate Companies - Securities And Exchange Commission
Legal
Form 6-k - Report On Foreign Issuer - District Of Columbia Securities And Exchange Commission - 2015
Business
Form 6-k - Report On Foreign Issuer - District Of Columbia Securities And Exchange Commission - 2015
Business
Related Categories
Parent category: Legal