Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 7
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100preparation for electronic filing, transfer agents should review Regulation S-T and the relevant
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portions of the EDGAR Filer Manual, Volume I (General Information).
In particular, transfer
agents should review Section 2.5 of Volume I, which provides the EDGAR hardware and software
requirements, Section 3 of Volume I, which provides instructions on becoming an EDGAR filer, and
Section 6 of Volume I, which provides instructions for filing on EDGAR.
The Commission has drafted a new section of Volume II (EDGAR Filing) of the EDGAR
Filer Manual which provides detailed instructions for preparing forms using EDGARLite. The
updates to Volume II have not yet been adopted; however, the Commission, has posted a draft on its
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Web site
so that filers and other third parties may review and comment on the draft section. Any
EDGAR Filer Manual draft is subject to Commission approval and may be revised prior to approval
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or not approved at all.
The new section will be adopted and effective prior to the January 1, 2007
effective date of these amendments.
The Commission is amending Regulation S-T, Rules 17Ac2-1, 17Ac2-2, and 17Ac3-1, and
Form TA-1, Form TA-2, and Form TA-W to mandate that all transfer agent forms filed with the
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Commission be filed in electronic format.
However, transfer agents that believe filing in
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Transfer agents may download the latest version of the Filer Manual from the
Commission’s Web site
under the section “Information for EDGAR Filers.”
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Any draft of the EDGAR Filer Manual that is posted before Commission approval of
potential regulatory changes is provided as a service to the filing community to assist filers,
agents, and software developers prepare for potential changes Commission staff anticipates.
The Commission retains the right to change any part of the manual before the new system
release is made final and the posting of the draft manual does not indicate Commission
approval of any pending proposed changes relating to the potential changes reflected in the
draft manual.
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A paper copy version of the forms and instructions will be available from the Commission
Publications Office and on the Commission's Web site for information purposes and for use
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