Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 68
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100UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Instructions for Use of Form TA-1
Application for Registration and Amendment to Registration as a Transfer Agent
Pursuant to Section 17A of the Securities Exchange Act of 1934
ATTENTION: This electronic Form TA-1 is to be filed only by SEC registrants. All other
registrants file Form TA-1 in paper format with their Appropriate Regulatory Authority and
should obtain the form from such authority.
Certain sections of the Securities Exchange Act of 1934 applicable to transfer agents are
referenced or summarized below. Registrants are urged to review all applicable provisions of
the Securities Exchange Act of 1934, the Securities Act of 1933 and the Investment
Company Act of 1940, as well as the applicable rules promulgated by the SEC under those
Acts.
I. General Instructions for Filing and Amending Form TA-1.
A. Terms and Abbreviations. The following terms and abbreviations are used throughout
these instructions:
1. “Act” refers to the Securities Exchange Act of 1934.
2. “ARA” refers to the appropriate regulatory agency, as defined in Section 3(a)(34)(B)
of the Act. See General Instruction D below.
3. “Form TA-1” is the Form filed as a registration and includes the Form and any
attachments to that Form.
4. “Registrant” refers to the entity on whose behalf Form TA-1 is filed.
5. “SEC” or “Commission” refers to the U.S. Securities and Exchange Commission.
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