Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 92
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100UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Instructions for Use of Form TA-2
Form for Reporting Transfer Agent Activities
Pursuant to Section 17A of the Securities Exchange Act of 1934
ATTENTION: All transfer agents, whether they are registered with the SEC or with
another regulatory authority, must file an annual report on Form TA-2 in electronic format
with the SEC.
Certain sections of the Securities Exchange Act of 1934 applicable to transfer agents are
referenced below. Transfer agents are urged to review all applicable provisions of the
Securities Exchange Act of 1934, the Securities Act of 1933, and the Investment Company
Act of 1940, as well as the applicable rules promulgated by the SEC under those Acts.
I.
General Instructions for Filing and Amending Form TA-2.
A. Terms and Abbreviations. The following terms and abbreviations are used throughout
these instructions:
1. “Act” means the Securities Exchange Act of 1934, 15 U.S.C. 78a et seq.
2. “Aged record difference,” as defined in Rule 17Ad-11(a)(2), 17 CFR 240.17Ad-
11(a)(2), means a record difference that has existed for more than 30 calendar
days.
3. “ARA,” as defined in Section 3(a)(34)(B) of the Act, 15 U.S.C. 78c(a)(34)(B),
means the appropriate regulatory agency.
4. “Direct Registration System” or “DRS” means the system, as administered by The
Depository Trust Company, that allows investors to hold their securities in
electronic book-entry form directly on the books of the issuer or its transfer agent.
92
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