Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 42
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100filing an amendment within sixty days following the date on which the information becomes
inaccurate, misleading, or incomplete.
(d) Every registration and amendment filed pursuant to this section shall be filed with
the Commission electronically in the Commission’s EDGAR system. Transfer agents should
refer to Form TA-1 and the instructions to the form (§ 249b.100 of this chapter) and to the
EDGAR Filer Manual (§ 232.301 of this chapter) for the technical requirements and
instructions for electronic filing. Transfer agents that have previously filed a Form TA-1 with
the Commission must refile the information on their Form TA-1, as amended, in electronic
format in EDGAR as an amended Form TA-1.
* * * * *
8. Amend § 240.17Ac2-2 by:
a. Adding two sentences to the end of the introductory text of paragraph (a); and
b. Revising paragraph (c).
The addition and revision reads as follows.
§ 240.17Ac2-2 Annual reporting requirement for registered transfer agents.
(a) * * * A transfer agent may file an amendment to Form TA-2 pursuant to the
instructions on the form to correct information that has become inaccurate, incomplete, or
misleading. A transfer agent may file an amendment at any time; however, in order to be
timely filed, all required portions of the form must be completed and filed in accordance with
this section and the instructions to the form by the date the form is required to be filed with
the Commission.
* * * * *
(c) Every annual report and amendment filed pursuant to this section shall be filed
with the Commission electronically in the Commission's EDGAR system. Transfer agents
42
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