Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 97
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100be 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.
II. Special Instructions for Filing Form TA-2.
A. Electronic Filing. Beginning [insert effective date of the rule], all transfer agent forms
(Form TA-1, Form TA-2, and Form TA-W) filed with the SEC must be filed
electronically on EDGAR. Transfer agents that are registered with the SEC must refile
electronically the information on their Form TA-1, as amended, with the SEC on an
amended Form TA-1. The SEC will not accept a Form TA-2 from transfer agents that
are registered with the SEC until such transfer agents have filed an electronic amended
Form TA-1.
B. Exemptions from Electronic Filing. The SEC may in limited cases grant an exemption
from electronic filing where the filer can show that an electronic filing requirement
creates an unreasonable burden or expense. Transfer agents should refer to Rule 202 of
Regulation S-T, 17 CFR 232.202, and to the SEC's Web site for information on applying
for a hardship exemption.
C. Report of Transfer Agent Activities. Transfer agents must provide full and complete
responses in the appropriate format.
1. Information relating to electronic filing. As an EDGAR filer, the transfer agent is
required to provide the following:
a. Whether the form is a “live” or “test” filing submission;
b. Whether the transfer agent would like a Return Copy of the filing;
c. The transfer agent’s CIK;
d. The transfer agent’s CCC;
97
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