Transfer Agents

Summary

Transfer agents stand between issuing companies and security holders in order to:

Record changes of ownership
Maintain the issuer's security holder records
Cancel and issue certificates
Distribute dividends

SEC webpage

Developments

SEC proposes to require electronic filing of forms

SEC release 33-54356 8.24.06
Would apply to Forms TA-1, TA-2 and TA-W

Transfer Agent Defined

Exchange Act § 3(a)(25)

Statute

Exchange Act § 17A

Text of Statute

SEC Rules

17Ac2-1 Registration of transfer agents

17Ac2-1
40 FR 51184, 11.04.75
51 FR 12127, 4.09.86

17Ac2-2 Annual reporting by transfer agents

17Ac2-2
51 FR 12127, 4.09.86
65 FR 36602, 36610, 6.09.00

17Ac3-1 Withdrawal from registration

17Ac3-1
42 FR 44984, 9.08.77

17Ad-1 Definitions

17Ad-1
42 FR 32411, 6.24.77
49 FR 40575, 10.17.84
51 FR 36551, 10.14.86

17Ad-2 Turnaround, processing, and forwarding of items

17Ad-2
42 FR 32412, 6.24.77
49 FR 40575, 10.17.84
59 FR 5942, 5946, 2.09.94

17Ad-3 Limitations on expansion

17Ad-3
42 FR 32412, 6.24.77

17Ad-4 Applicability of rules

Applicability of

17Ad-2
17Ad-3
17Ad-6(a) (1) through (7) and (11)

17Ad-4
42 FR 32413, 6.24.77
48 FR 28246, 6.21.83

17Ad-5 Written inquiries and requests

17Ad-5
42 FR 32413, 6.24.77
51 FR 5707, 2.18.86

17Ad-6 Recordkeeping

17Ad-6
42 FR 32413, 6.24.77

17Ad-7 Record retention

17Ad-7
42 FR 32414, 6.24.77
47 FR 54063, 12.01.82
62 FR 52229, 52237, 10.07.97
66 FR 21648, 21659, 5.01.01
68 FR 74390, 12.23.03
68 FR 75050, 12.29.03

17Ad-8 Securities position listings

17Ad-8
44 FR 76777, 12.28.79

17Ad-9 Definitions

17Ad-9
48 FR 28246, 6.21.83

17Ad-10 Securityholder files

Prompt posting of certificate detail to master securityholder files, maintenance of accurate securityholder files, communications between co-transfer agents and recordkeeping transfer agents, maintenance of current control book, retention of certificate detail and ``buy-in'' of physical over-issuance
17Ad-10
48 FR 28246, 6.21.83
51 FR 5708, 2.18.86

17Ad-11 Reports

Reports Regarding Aged Record Differences, Buy-Ins and Failure to Post Certificate Detail to Master Securityholder and Subsidiary Files
17Ad-11
48 FR 28247, 6.21.83

17Ad-12 Safeguarding of funds and securities

Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files
17Ad-12
48 FR 28248, 6.21.83
60 FR 74390, 12.23.03

17Ad-13 Annual study - Internal accounting control

17Ad-13
48 FR 28248, 6.21.83

17Ad-14 Tender agents

17Ad-14
49 FR 3071, 1.25.84

17Ad-15 Signature guarantees

17Ad-15
57 FR 1095, 1.10.92

17Ad-16 Termination of transfer agent services

Notice of assumption or termination of transfer agent services
17Ad-16
59 FR 63661, 12.08.94

17Ad-17 Lost securityholders

Transfer agents' obligation to search for lost securityholders
17Ad-17

62 FR 52229, 52237, 10.07.97
63 FR 1884, 1.12.98

17Ad-18 Year 2000 Reports

17Ad-18
63 FR 37688, 37693, 7.13.98
63 FR 58630, 58634, 11.02.98

17Ad-19 Securities certificates

Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates
17Ad-19
68 FR 74390, 12.23.03

17Ad-20 Issuer restrictions

Issuer restrictions or prohibitions on ownership by securities intermediaries
17Ad-20
69 FR 70852, 70862, 12.07.04

17Ad-21T Year 2000

Operational capability in a Year 2000 environment
17Ad-21T
64 FR 42012, 42029, 8.03.99

SEC Forms

Form TA-1 Registration

Form TA-2 Annual Report

Form TA-W Withdrawal

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