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Form TA-1 is to be 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
Transfer Agent Registration and Amendment Form—Form TA-1. Under sections 2, 17A(c), 17(a)(3), and 23(a) of the Securities Exchange Act of 1934 and the rules and regulations thereunder, the appropriate regulatory agencies (ARA's) are authorized to solicit from applicants for registration as a transfer agent and
Form TA-1 - current version (last update April 2021) (PDF) Historical Versions Description: Form TA-1, an interagency form, is used by entities wishing to act as a transfer agent to register before performing transfer agent functions and to amend registration information as necessary.
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Form TA-1. Instructions for Use. General: Form TA-1 is to be 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, or the Federal Deposit Insurance Cor-poration pursuant to Section 17A of the Securities Exchange Act of 1934.
Form TA-1 3 Revised 09-2007 D. How and Where to File. Each registrant must file Form TA-1 with its own current ARA. The FBRs will send copies of the submitted filings to the SEC on behalf of their registrants.
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