Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 39
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10017Ac3-1, and to Forms TA-1, TA-2, and TA-W under the authority in Section 19(a) of the Securities
71
72
Act and Sections 17(a),
17A(c),
23(a), and 35A of the Act.
Text Rule Amendments
List of Subjects
17 CFR Parts 232, 239, 240, 249, 249b, 269, and 274
Reporting and recordkeeping requirements, Securities.
In accordance with the foregoing, Title 17, Chapter II of the Code of Federal
Regulations is amended as follows:
PART 232—REGULATION S-T—GENERAL RULES AND REGULATIONS FOR
ELECTRONIC FILINGS
1. The general authority citation for part 232 is revised to read as follows:
Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77sss(a), 78c(b), 78l, 78m, 78n,
78o(d), 78w(a), 78ll(d), 80a-8, 80a-29, 80a-30, 80a-37, and 7201 et seq.; and 18 U.S.C. 1350.
* * * * *
2. Amend § 232.101 by:
a. Removing the word "and" at the end of paragraph (a)(1)(x);
b. Removing the period at the end of paragraph (a)(1)(xi) and in its place adding ";
and"; and
c. Adding paragraph (a)(1)(xii).
The addition reads as follows.
§232.101 Mandated electronic submissions and exceptions.
(a) * * *
71
15 U.S.C. 78q(a).
72
15 U.S.C. 78q-1(c).
39
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