Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 5
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Commission during the three month period between January 1 and March 31.
Although all
registered transfer agents are required to file a Form TA-2, the Commission receives fewer Forms
TA-2 than there are registered transfer agents. This may be because some registered transfer agents
have dissolved without filing a Form TA-W, the paper Form TA-2 was lost or misdirected, or some
transfer agents are not meeting the Form TA-2 filing requirement.
To facilitate public dissemination of the information, the Commission staff enters basic
information from the forms into EDGAR, including the name and address of the transfer agent, the
transfer agent's registration number, and the date the form was filed with the Commission. This data
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is then disseminated on the EDGAR section of Commission’s Web site.
In order to view all of the
information on a form, however, members of the public must request a hard copy of the form from
the Commission's public reference room or obtain the information from a third party information
service company for a fee.
B.
Electronic Filing of Transfer Agent Forms
The electronic filing system for transfer agent forms will be beneficial for transfer
agents, investors, and the Commission. Under the new electronic filing requirement, each
answer provided by the transfer agent will be formatted as an XML data tag. XML is a
widely used text format that allows for the flexible use and exchange of data. The
Commission designed the filing system to use XML data tags so that all of the information
filed by transfer agents could be used by Commission staff and the public for searches,
retrievals, and data analysis. To facilitate the filing of the information as XML data tags, the
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17 CFR 240.17Ac2-2. For the years 2003 through 2005, the Commission received an
average of 1,069 transfer agent forms each year, including 41 Forms TA-1, 247 amended
Forms TA-1, 709 Forms TA-2, 31 amended Forms TA-2, and 39 Forms TA-W.
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