Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 71
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100Registrants should refer to 17 CFR 240.17Ad-6 and 240.17Ad-7 for information
regarding the recordkeeping rules for transfer agents.
G. Effective Date. Registration of a transfer agent becomes effective thirty days after receipt
by the ARA of the application for registration unless the filing does not comply with
applicable requirements or the ARA takes affirmative action to accelerate, deny, or
postpone registration in accordance with the provisions of Section 17A(c) of the Act.
H. Amending Registration. Each registrant must amend Form TA-1 within sixty calendar
days following the date on which information reported therein becomes inaccurate,
incomplete, or misleading.
1. Registrants amend Form TA-1 by responding “Yes” to Question 1(e).
2. All fields that are required to be completed on the registrant’s Form TA-1 must be
completed on the amended Form TA-1. The transfer agent may use a saved
electronic version of a previously filed Form TA-1 or amended Form TA-1 as a
template for the amended filing and create the amended form by revising the
responses for which the information has become inaccurate, incomplete, or
misleading. (For instructions on using a saved form as a template for an amended
filing, registrants should refer to the EDGAR Filer Manual.)
II. Special Instructions for Filing and Amending Form TA-1.
A. Electronic Filing. Beginning [effective date of the proposed rule], all transfer agent
forms (Form TA-1, Form TA-2, and Form TA-W) filed with the SEC must be filed
electronically in EDGAR. Transfer agents that are registered with the SEC must refile
electronically the information on their Form TA-1, as amended, with the SEC on an
amended Form TA-1. The SEC will not accept any other transfer agent form from such
transfer agents until they have filed an electronic amended Form TA-1.
71
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