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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
1 Δεκ 2006 · Uniform form for registration as a transfer agent and for amendment to registration. TA-1. formta-1.pdf (PDF, 534.9 KB) Last Reviewed or Updated: Dec. 1, 2006. Return to top.
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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Fill out and download the Form TA-1 Transfer Agent Registration and Amendment Form for free. Easily edit, save, and print your completed document in PDF or Word formats.
14 Νοε 2022 · SEC Form TA-1 is to be used to register or amend registration as a transfer agent with the federal financial regulators. The form is required of transfer agents pursuant to Section 17A...
