Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 83
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100Commission deems necessary or appropriate in the public interest, for the protection of
investors, or in furtherance of the purposes of Section 17A.
II. Special Instructions for Filing Form TA-W
A. Electronic Filing. Beginning [insert effective date of the 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.
B. Exemptions from Electronic Filing. The SEC may, in limited cases, grant an exemption
from electronic filing where the filer can show that an electronic filing requirement
creates an unreasonable burden or expense. Registrants should refer to Rule 202 of
Regulation S-T, 17 CFR 232.202, and to the SEC's Web site, , for
information on applying for a hardship exemption.
C. Withdrawal from Registration. Registrants must provide full and complete responses in
the appropriate format.
1. Information relating to electronic filing. As EDGAR filers, registrants are required to
provide the following:
a. Whether the Form is a “live” or “test” filing submission;
b. Whether the registrant would like a Return Copy of the filing;
c. The registrant’s CIK;
d. The registrant’s CCC;
e. The contact e-mail address for the registrant; and
f. The notification e-mail address(es) for the registrant regarding the status of the
submission.
For more information regarding the above requirements see the EDGAR Filer
Manual, Volume I (General Requirements). A registrant that is granted a continuing
83
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