Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 38
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100However, transfer agents will be free to use a public facility if the facility has the necessary
computer system requirements. Additionally, filers can prepare their filings by creating an ASCII
document as described above, which should be possible on many public computer service facilities.
Finally, the Commission can grant a transfer agent a continuing hardship exemption from the
electronic filing requirement under Rule 202 of Regulation S-T if the transfer agent demonstrates
that the electronic filing requirement would cause it undue burden or expense and the Commission
determines that a grant of the exemption is appropriate and consistent with the public interest and the
protection of investors. A transfer agent that was granted such an exemption would continue to file
the forms in paper and thus would not be economically impacted by the electronic filing
requirement.
VIII. STATUTORY BASIS AND TEXT OF THE AMENDMENTS
We are adopting the amendments to Regulation S-T and Form ID under the authority in
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Section 19(a)
of the Securities Act of 1933, Sections 13(a),
23(a),
and 35A
of the Exchange
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Act, Section 319
of the Trust Indenture Act of 1939, and Sections 30
and 38
of the Investment
Company Act of 1940. We are adopting the amendments to Rule 17Ac2-1, Rule 17Ac2-2, and Rule
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15 U.S.C. 77s(a).
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15 U.S.C. 78m(a).
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15 U.S.C. 78w(a).
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15 U.S.C. 78ll.
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15 U.S.C. 77sss.
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15 U.S.C. 80a-29.
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15 U.S.C. 80a-37.
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