Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 84
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100hardship exemption pursuant to Rule 202 of Regulation S-T, 17 CFR 232.202, need
only provide its CIK.
2. All items on the Form must be answered in full. Individuals’ names must be given in
full.
D. Execution of Form TA-W. A duly authorized official or a principal of the registrant must
execute Form TA-W and any amendments thereto on behalf of that registrant. For a
corporate registrant, the term official includes the chairman or vice-chairman of the board
of directors, the chairman of the executive committee, or any officer of the corporation
who is authorized by the corporation to sign Form TA-W on its behalf. For a non-
corporate registrant, duly authorized principal means a principal of the registrant who is
authorized to sign Form TA-W on its behalf.
The official or principal of the registrant shall execute Form TA-W by providing an
electronic signature pursuant to Rule 302, Signatures, of Regulation S-T, 17 CFR 232.302.
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-W, 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
84
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