Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 85
ADVERTISEMENT
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
60
61
62
63
64
65
66
67
68
69
70
71
72
73
74
75
76
77
78
79
80
81
82
83
84
85
86
87
88
89
90
91
92
93
94
95
96
97
98
99
1003.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 Commission is authorized to solicit from registered transfer agents the information
required to be supplied by this Form. Disclosure to the Commission of the information
requested in Form TA-W is a prerequisite to the processing of a notice of withdrawal of
registration as a transfer agent. The information will be used for the principal purpose of
enabling the Commission to determine whether it is necessary or appropriate in the public
interest, for the protection of investors, or in furtherance of the purposes of Section 17A of
the Act that the withdrawal be denied, postponed or subject to specific terms and conditions.
Information supplied on this Form will be included routinely in the public files of the
Commission and will be available for inspection by any interested person.
85
ADVERTISEMENT
0 votes
Related Articles
Related forms
Form Id - Uniform Application For Access Codes To File On Edgar - U.s. Securities And Exchange Commission
Legal
Form Id - Uniform Application For Access Codes To File On Edgar - U.s. Securities And Exchange Commission Washington, Dc
Business
Form S-3 - Registration Statement Under The Securities Act Of 1933 - United States Securities And Exchange Commission
Legal
Guidance Update No.2013-07 - Business Development Companies-separate Financial Statements Or Summarized Financial Information Of Certain Subsidiaries - Us Securities And Exchange Commission
Legal
Form N-8b-4 - Registration Statement Of Face-amount Certificate Companies - Securities And Exchange Commission
Legal
Form 6-k - Report On Foreign Issuer - District Of Columbia Securities And Exchange Commission - 2015
Business
Form 6-k - Report On Foreign Issuer - District Of Columbia Securities And Exchange Commission - 2015
Business
Related Categories
Parent category: Legal