Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 94
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100means any person who engages on behalf of an issuer of securities or on behalf of
itself as an issuer in at least one of the functions enumerated therein.
13. “Regulation S-T,” 17 CFR 232, is the SEC’s regulation that sets forth the rules
related to filing electronic documents in EDGAR.
14. “EDGAR,” Electronic Data Gathering, Analysis, and Retrieval, is defined in Rule
11 of Regulation S-T, 17 CFR 232.11, as the computer system for the receipt,
acceptance, review, and dissemination of documents submitted in electronic
format.
15. “EDGAR Filer Manual,” as defined in Rule 11 of Regulation S-T, 17 CFR
232.11, is the manual prepared by the SEC setting out the technical format
requirements for an electronic submission to EDGAR.
16. “EDGARLite” is an EDGAR application described in the EDGAR Filer Manual
that transfer agents may use to create the electronic Form TA-2 for submission to
EDGAR.
B. Who Must File; When to File.
1. Every transfer agent that is registered on December 31 must file Form TA-2 in
accordance with the instructions contained therein by the following March 31.
Before an SEC registered transfer agent may file a Form TA-2 on EDGAR it must
have filed a Form TA-1 or an amended Form TA-1 on EDGAR. SEC transfer
agents should refer to the instructions to 240 CFR 17Ac2-1 and Form TA-1 for
more information.
a. A registered transfer agent that received fewer than 1,000 items for transfer
during the reporting period and that did not maintain master securityholder
files for more than 1,000 individual securityholder accounts as of December 31
94
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