Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 31
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10055
In addition, Section 23(a)(2) of the Act
requires the Commission, when promulgating rules under
the Act, to consider the impact any such rules would have on competition. Section 23(a)(2) further
provides that the Commission may not adopt a rule that would impose a burden on competition not
necessary or appropriate in furtherance of the purposes of the Act.
A transfer agent is any entity that engages on behalf of an issuer of securities or on behalf of
itself as an issuer of securities in: (1) countersigning such securities upon issuance; (2) monitoring
the issuance of such securities with a view to preventing unauthorized issuance, a function
commonly performed by a person called a registrar; (3) registering the transfer of such securities; (4)
exchanging or converting such securities; and (5) transferring record ownership of securities by
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bookkeeping entry without physical issuance of securities certificates.
Transfer agents are
regulated by the Commission pursuant to Section 17A of the Act. All transfer agents file an annual
report with the Commission on Form TA-2. Non-bank transfer agents file registrations on Form TA-
1 and withdrawals from registration on Form TA-W with the Commission. These forms are
currently filed with the Commission in paper format.
The amendments to Regulation S-T, Rules 17Ac2-1, 17Ac2-2, and 17Ac3-1 and to Forms
TA-1, TA-2, and TA-W and the instructions to the forms will require that transfer agent forms be
filed electronically using the Commission's EDGAR system. The Commission has designed a new
application in EDGAR, EDGARLite, that uses form templates with a commercial off-the-shelf
software package, MS InfoPath,™ to allow filers to easily complete electronic forms for submission
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15 U.S.C. 78w(a)(2).
56
15 U.S.C. 78c(a)(25).
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