SEC Form TA-1

What is SEC Form TA-1?

Transfer agents must file SEC Form TA-1 in compliance with Section 17A of the Securities Exchange Act of 1934 to register or amend registration with one of four regulatory agencies – Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation or the SEC.

Transfer agents, which are typically banks or trusts though can sometimes comprise companies that serve as their own agents, facilitate secondary trades.

Activities involve tracking and recording changes of ownership, maintaining the issuer’s security holder records, canceling and issuing certificates, and distributing dividends.

Form TA-1 must be filed with the SEC in XML format via the EDGAR computer system for the receipt, acceptance, review and dissemination of documents submitted in electronic format to the SEC. Information supplied on the form will be made publicly available on Registration of a transfer agent becomes effective 30 days after receipt of the application, unless the filing doesn’t comply with applicable requirements or the SEC accelerates, denies or postpones registration. For support and additional information, explore our SEC reporting solutions.