Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 21
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1004.
Amendments to Form TA-W and Instructions
i. Question 7. The reference to "out of proof conditions" is deleted because the
Commission no longer uses the term.
ii. Questions 9 and 10. The reference to Schedule B on Form TA-1 is deleted
because Form TA-1 was previously amended and Schedule B no longer requires
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the referenced information.
Accordingly, the phrase "each issue shown on
Schedule B of registrants Form TA-1, as amended," is deleted and replaced with
the phrase "each issue for which registrant acted as transfer agent."
iii. Instruction 1. The reference to "Section 17A(c)(3)(C)" is revised to "Section
17A(c)(4)(B)."
5.
Amendment to Form ID
The Commission proposed to amend Form ID, Uniform Application for Access
Codes to File on EDGAR, to add “transfer agent” to the check-the-box list of applicant types
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(the form currently has boxes for “filer,” “filing agent,” “trainer,” or “individual”).
The
purpose of this change is to allow the Commission to identify a new filer as a transfer agent
for purposes of utilizing the special instructions in EDGARLite for the TA forms (for
example, a TA-2 will be blocked if the transfer agent hasn’t previously filed an electronic
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Form TA-1 or amended Form TA-1).
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Securities Exchange Act Release No. 23084 (March 27, 1986), 51 FR 12124 (April 9,
1986).
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17 CFR 239.63, 249.446, 269.7, and 274.402.
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Transfer agents that have previously filed a transfer agent form with the Commission are
currently in the system. Only those transfer agents that are filing a transfer agent form with
the Commission for the first time would be required to complete and file a Form ID.
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