Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 69
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1006. “Transfer agent” is defined in Section 3(a)(25) of the Act as any person who engages
on behalf of an issuer of securities or on behalf of itself as an issuer in at least one of
the functions enumerated therein.
7. “Independent, Non-Issuer Transfer Agent” refers to an entity which acts as a transfer
agent for other than its own securities or securities of an affiliate.
8. “Regulation S-T” is the SEC’s regulation containing the rules related to filing
electronic documents in EDGAR. 17 CFR 232 et seq.
9. “EDGAR” (Electronic Data Gathering, Analysis, and Retrieval) is the computer
system for the receipt, acceptance, review, and dissemination of documents submitted
to the Commission in electronic format.
10. “EDGAR Filer Manual” is the manual prepared by the SEC setting out the technical
format requirements for an electronic submission to EDGAR.
11. “EDGARLite” is an application in EDGAR that registrants may use to create the
electronic Form TA-1 for submission to EDGAR.
B. Who Must File. Pursuant to Section 17A(c)(1) of the Act, it is unlawful for a transfer
agent to perform any transfer agent function with respect to any qualifying security
unless that transfer agent is registered with its ARA. A qualifying security is any security
registered under Section 12 of the Act. Thus, qualifying securities including securities
registered on a national securities exchange pursuant to Section 12(b) of the Act as well
as equity securities registered pursuant to Section 12(g)(1) of the Act for issuers that have
total assets exceeding $3,000,000 and a class of equity securities (other than exempted
securities) held of record by 500 or more persons. In addition, qualifying securities
include equity securities of registered investment companies and certain insurance
companies that would be required to be registered under Section 12(g) except for the
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