Transfer Agent Forms: Electronic Filing of Transfer Agent Forms by FDIC-Supervised Registered Transfer Agents
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Transfer Agent Forms: Electronic Filing of Transfer Agent Forms by FDIC-Supervised Registered Transfer Agents

Filetype[PDF-1.20 MB]



Details:

  • Publisher's site:
  • Description:
    The Securities and Exchange Commission (SEC) has amended the rules and forms requirements of Section 17A of the Securities Exchange Act of 1934, requiring that effective January 11, 2007, all registered transfer agents file the annual TA-2 report electronically. The SEC has developed a new application called EDGARLite (Electronic Data Gathering, Analysis, and Retrieval) that filers can use to prepare an electronic version of transfer agent forms. Filers will not be required to use EDGARLite, but may use any EDGAR Filer Manual-approved method. The SEC's attached final rule may be accessed at http://edocket.access.gpo.gov/2006/pdf/06-9600.pdf - PDF 18MB (PDF Help).
  • Format:
  • Release Date:
    03/06/2007
  • Update Date:
    11/14/2018
  • Withdrawn Date:
    12/01/2018
  • Agencies Involved:
    Federal Deposit Insurance Corporation (FDIC)U.S. Securities and Exchange Commission (SEC)
  • Fdic Employee Involved:
    Anthony J. DiMilo
  • Law Involved:
    Securities Exchange Act of 1934
  • Source:
    FDIC Website
  • Memorandum To:
    FDIC-Supervised Banks (Commercial and Savings)
  • Effective Date:
    01/11/2007
  • FIL Number:
    FIL-25-2007
  • Main Document Checksum:
  • File Type:

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