Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 4
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100currently 785 registered transfer agents, of which 519 are registered with the Commission and 266
are registered with the other ARAs.
There are three transfer agent forms filed with the Commission: (1) Form TA-1, Uniform
Form for Registration as a Transfer Agent and for Amendment to Registration Pursuant to Section
17A of the Securities Exchange Act of 1934; (2) Form TA-2, Form for Reporting Activities of
Transfer Agents Registered Pursuant to Section 17A of the Securities Exchange Act of 1934; and (3)
Form TA-W, Notice of Withdrawal from Registration as a Transfer Agent. Only transfer agents that
are registered with the Commission file Form TA-1 and Form TA-W with the Commission. All
transfer agents, however, whether they are registered with the Commission or another ARA, file
Form TA-2 with the Commission. The Commission uses the information on the transfer agent forms
to review and approve an entity's application for registration as a transfer agent, maintain current
information about transfer agents, and monitor the operations performed by and the services
provided by transfer agents. The information filed on the Form TA-1, Form TA-2, and Form TA-W
is publicly available.
Over 1,000 transfer agent forms are filed with the Commission each year. The Commission
receives new or amended transfer agent registrations on Form TA-1 and withdrawals from
registration on Form TA-W; however, most of the transfer agent forms received by the Commission
are the annual reports filed by transfer agents on Form TA-2, which are required to be filed with the
which is a bank other than a bank specified in clause (i) or (ii) of this subparagraph; (iii) the
Federal Deposit Insurance Corporation, in the case of a bank insured by the Federal Deposit
Insurance Corporation (other than a member of the Federal Reserve System), or a subsidiary
thereof; and (iv) the Commission in the case of all other clearing agencies and transfer
agents.
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