Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 70
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100exemptions provided by paragraphs (g)(2)(B) and (g)(2)(G), respectively, of Section 12,
i.e., when the asset and shareholder criteria of Section 12(g)(1)(B) are met.
C. When to File. Before a transfer agent may perform any transfer agent function for a
qualifying security, it must apply for registration on Form TA-1 with its ARA and its
registration must become effective. Instructions for amending Form TA-1 appear at
General Instruction H.
D. How to File. Registrants file electronically in EDGAR. Registrants should refer to the
EDGAR Filer Manual, which is available on the SEC's Web site, , for the
instructions for preparing forms in EDGARLite™ and filing forms in EDGAR as well as
for the computer hardware and software requirements for electronic filing. A Form TA-1
or an amended Form TA-1 which is not completed properly may be suspended as not
acceptable for filing. Acceptance of this form, however, does not mean that the
Commission has found that it has been filed as required or that the information submitted
therein is true, correct or complete.
Registrants that are granted a hardship exemption from electronic filing under Rule 202
of Regulation S-T, 17 CFR 232.202, will be provided with instructions on how and where
to file a paper Form TA-1.
A registrant that wishes to include a cover letter or other correspondence may do so by
including the document as an attachment to the Form.
E. EDGAR Access. Before registrants may prepare the Form in EDGARLite™ or file the
Form in EDGAR they must apply for access to EDGAR. Registrants should refer to the
EDGAR Filer Manual, Volume I (General Instructions) for information on accessing
EDGAR.
F. Records. Each registrant must keep an exact copy of any filing for its records.
70
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