Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 8
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100electronic format is unduly burdensome will be able to apply for a continuing hardship exemption
17
from the electronic filing requirement pursuant to Rule 202 of Regulation S-T.
Rule 202 provides
that an electronic filer may apply in writing for a continuing hardship exemption if the filing cannot
be submitted to the Commission in electronic format without undue burden or expense. The
Commission determines whether to grant or to deny the application based on whether the exemption
is appropriate and is consistent with the public interest and the protection of investors.
For the first year of electronic filing only, transfer agents that are registered with the
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Commission will be required to file an amended Form TA-1 before they file a Form TA-2.
By so
requiring, the Commission will be able to establish a complete and current record of registration
information for transfer agents registered with the Commission in a single, centralized, and
searchable database. Form TA-1 collects important information regarding transfer agents, such as
name, address, organizational structure, and control persons. The requirement to file an amended
Form TA-1 when the electronic filing system first becomes effective will make the data previously
reported on the paper form readily available electronically for Commission use and public
dissemination. Additionally, the requirement is designed to ensure that transfer agents have a
complete electronic version of the form to use as a template for future amendments. It will provide
an opportunity for transfer agents to make sure that their Form TA-1 is current and that all
amendments to correct inaccurate, misleading, or incomplete information are made. Because
transfer agents are required to maintain a copy of Form TA-1 and any amendments to Form TA-1
by transfer agents that were granted a hardship exemption from electronic filing under Rule
202 of Regulation S-T.
17
17 CFR 232.202.
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Transfer agents registered with an ARA other than the Commission do not file Form TA-1
or Form TA-W with the Commission and accordingly would not be subject to this
requirement.
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