Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 74
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100to Rule 301, Signatures, of Regulation S-T, 17 CFR 232.301. The official or principal of
the registrant must provide his or her full name in typed format in the signature box of the
form and must manually sign a signature page or other document authenticating,
acknowledging, or otherwise adopting his or her signature that appears in typed form
within the electronic filing. The signature page or other such document shall be signed at
or before the time the electronic filing is made, shall be retained by the transfer agent for
a period of five years, and shall be made available to the Commission or its staff upon
request.
By executing Form TA-1, the registrant agrees and consents that notice of any proceeding
under the Act by the SEC involving the registrant may be given by sending such notice
by registered or certified mail to the registrant, “Attention Officer in Charge of Transfer
Agent Activities,” at its principal office for transfer agent activities as given in response
to Question 3.c. of Form TA-1.
III. Notice
Under Sections 17, 17A(c) and 23(a) of the Act and the rules and regulations thereunder, the
SEC is authorized to solicit from applicants for registration as a transfer agent and from
registered transfer agents the information required to be supplied by Form TA-1. Disclosure
to the SEC of the information requested in Form TA-1 is a prerequisite to the processing of
Form TA-1. The information will be used for the principal purpose of determining whether
the SEC should permit an application for registration to become effective or should deny,
accelerate or postpone registration of an applicant. The information supplied herein may also
be used for all routine uses of the SEC. Information supplied on this Form will be included
routinely in the public files of the SEC and will be available for inspection by any interested
person.
74
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