Form TA (Transfer Agents)

Transfer agents record changes of ownership, maintain the issuer’s security holder records, cancel and issue certificates, and distribute dividends. Because transfer agents stand between issuing companies and security holders, efficient transfer agent operations are critical to the successful completion of secondary trades. Transfer agents file Forms TA-1, TA-2, and TA-W with the SEC EDGAR system to register, report annually, and withdraw registration respectively. Beginning January 11, 2007, all transfer agent forms must be filed with the SEC EDGAR system electronically in XML format.

  • Form TA-1: Form TA-1 is used to register or amend registration as a transfer agent with the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation or the Securities and Exchange Commission pursuant to Section 17A of the Securities Exchange Act of 1934.

  • Form TA-2: Form TA-2 is completed by transfer agents when submitting their annual report of transfer activities. Information collected on Form TA-2 is used by regulatory bodies for the oversight of transfer agents.

  • Form TA-W: Form TA-W is filed by transfer agents when they wish to withdraw from registration.

 

Our Form TA Solution

Complete a Form TA template (see the Resources section below) and email it to us along with your company’s CIK and CCC filing codes. We will then proceed to prepare your Form TA in XML format and provide a proof prior to receiving your authorization to file with the SEC EDGAR system. If you do not have EDGAR filing codes we can work with you to obtain them. Requests for new EDGAR filing codes can take the SEC several days to process so please ensure sufficient time is provided to address this part of the process.

 

Resources

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