Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 96
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100by including the document as an electronic attachment to the form.
D. EDGAR Access. Before transfer agents file on EDGAR they must obtain access to
EDGAR. Transfer agents should refer to the EDGAR Filer Manual, Volume I (General
Instructions) for information on accessing EDGAR.
E. Amending Form TA-2. Transfer agents may amend Form TA-2 at any time to correct
errors in the information reported therein.
1. A transfer agent may amend Form TA-2 by selecting the submission type
"Amendment" on Form TA-2. The transfer agent may use a saved electronic version
of a previously filed Form TA-2 or an amended Form TA-2 as a template for the
amended filing. For instructions on using a saved form as a template for an amended
filing transfer agents should refer to the EDGAR Filer Manual.
2. All fields that are required to be completed on the transfer agent’s Form TA-2 must
be completed on the amended Form TA-2 with the transfer agent amending only
those answers for which it needs to correct an error.
F. Records. Each transfer agent must keep an exact copy of any filing for its records.
Transfer agents should refer to 17 CFR 240.17Ad-6 and 240.17Ad-7 for information
regarding the recordkeeping rules for transfer agents.
G. Execution of Form TA-2 and Amendments Thereto. A duly authorized official or a
principal of the transfer agent shall execute Form TA-2 by providing an electronic
signature pursuant to Rule 301, Signatures, of Regulation S-T, 17 CFR 301. The official
or principal of the transfer agent 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
96
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