Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 40
ADVERTISEMENT
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
100(1) * * *
(xii) Form TA-1 (§ 249.100 of this chapter), Form TA-2 (§ 249.102 of this chapter),
and Form TA-W (§ 249.101 of this chapter).
* * * * *
3. Revise § 232.104 paragraph (a) to read as follows.
§ 232.104 Unofficial PDF copies included in an electronic submission.
(a) An electronic submission, other than a Form 3 (§ 249.103 of this chapter), a Form
4 (§ 249.104 of this chapter), a Form 5 (§ 249.105 of this chapter), a Form ID (§§ 239.63,
249.446, 269.7 and 274.402 of this chapter), a Form TA-1 (§ 249.100 of this chapter), a
Form TA-2 (§ 249.102 of this chapter), or a Form TA-W (§ 249.101 of this chapter), may
include one unofficial PDF copy of each electronic document contained within that
submission, tagged in the format required by the EDGAR Filer Manual.
* * * * *
4. Section 232.201 is amended by revising the introductory text of paragraph (a) to
read as follows.
§ 232.201 Temporary hardship exemption.
(a) If an electronic filer experiences unanticipated technical difficulties preventing the
timely preparation and submission of an electronic filing other than a Form 3 (§ 249.103 of
this chapter), a Form 4 (§ 249.104 of this chapter), a Form 5 (§ 249.105 of this chapter), a
Form ID (§§ 239.63, 249.446, 269.7 and 274.402 of this chapter), a Form TA-1 (§ 249.100 of
this chapter), a Form TA-2 (§ 249.102 of this chapter), or a Form TA-W (§ 249.101 of this
chapter), the electronic filer may file the subject filing, under cover of Form TH (§§ 239.65,
249.447, 269.10 and 274.404 of this chapter), in paper format no later than one business day
after the date on which the filing was to be made.
40
ADVERTISEMENT
0 votes
Related Articles
Related forms
Form Id - Uniform Application For Access Codes To File On Edgar - U.s. Securities And Exchange Commission
Legal
Form Id - Uniform Application For Access Codes To File On Edgar - U.s. Securities And Exchange Commission Washington, Dc
Business
Form S-3 - Registration Statement Under The Securities Act Of 1933 - United States Securities And Exchange Commission
Legal
Guidance Update No.2013-07 - Business Development Companies-separate Financial Statements Or Summarized Financial Information Of Certain Subsidiaries - Us Securities And Exchange Commission
Legal
Form N-8b-4 - Registration Statement Of Face-amount Certificate Companies - Securities And Exchange Commission
Legal
Form 6-k - Report On Foreign Issuer - District Of Columbia Securities And Exchange Commission - 2015
Business
Form 6-k - Report On Foreign Issuer - District Of Columbia Securities And Exchange Commission - 2015
Business
Related Categories
Parent category: Legal