Electronic Filing Of Transfer Agent Forms - Securities And Exchange Commission Page 99
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100open-end investment company securities category.
e. In answering Question 6, debt securities are to be counted as one issue per CUSIP
number. Open-end investment company securities portfolios are to be counted as
one issue per CUSIP number.
5. In answering Question 7.c., exclude coupon payments and transfers of record
ownership as a result of corporate actions.
6. In answering Question 10, exclude non-value transactions such as name or address
changes.
7. In answering Question 11.b., include only those accounts held by securityholders that
are defined as lost by Rule 17Ad-17, 17 CFR 240.17Ad-17, when the underlying
securities (i.e., not just dividends and interest) have been remitted to the states.
III. Notice
SEC’s Collection of Information: An agency may not conduct or sponsor, and a person is not
required to respond to, a collection of information unless it displays a currently valid control
number. Under Sections 17, 17A(c) and 23(a) of the Act and the rules and regulations
thereunder, the SEC is authorized to solicit from registered transfer agents the information
required to be supplied on Form TA-2. The filing of this Form is mandatory for all registered
transfer agents. The information will be used for the principal purpose of regulating
registered transfer agents but may be used for all routine uses of the SEC or of the ARAs.
Information supplied on this Form will be included routinely in the public files of the ARAs
and will be available for inspection by any interested person. Any member of the public may
direct to the SEC any comments concerning the accuracy of the burden estimate on the
application facing page of this Form, and any suggestions for reducing this burden. The
Office of Management and Budget has reviewed this collection of information in accordance
99
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