Electronic Filing of Transfer Agent Forms
Beginning January 11, 2007, all transfer agent forms (Forms TA-1, TA-2, and TA-W) that are filed with the Commission must be filed in electronic format on the Commission’s EDGAR database. For a complete description of the electronic filing system and of the Commission’s purpose in adopting an electronic filing requirement for transfer agent forms, please see Release Number 34-54864. For general information related to electronic filing and contact information for filer assistance, please see below.
EDGAR Access: Each transfer agent will have to apply for access to the EDGAR database in order to file electronically. Instructions for applying for access can be found at this link: https://www.filermanagement.edgarfiling.sec.gov/
filermgmtfmhelp/htm/hh_start.htm. Please note:
- Transfer agents that have previously filed at least one transfer agent form with the Commission should follow the instructions for current EDGAR filers that are converting from paper-only to electronic filers.
- These instructions can be found by selecting the following from the menu in the above link:
- 3. Becoming an EDGAR Filer
- 3.3. Current SEC Filer: Applying for EDGAR Access
- 3.3.1. Current Paper Only Filer
- Transfer agents will need to look up their CIK as part of this application process. Directions on how to do this are provided in the instructions in the above link. However, transfer agents should note that they must use the CIK assigned to them in their capacity as a transfer agent and that a CIK assigned to them in another capacity, such as an issuer or an investment advisor, may not be used to access EDGAR as a transfer agent.
- All other transfer agents should follow the instructions for new EDGAR filers.
- These instructions can be found by selecting the following from the menu in the above link:
- 3. Becoming an EDGAR Filer
- 3.2 New SEC Filer: Applying for EDGAR Access
- For help with applying for EDGAR access, please contact EDGAR Filer Support at 202-551-8900.
Instructions for preparing and submitting the transfer agent forms electronically on EDGAR. Instructions are available at this link: http://www.sec.gov/info/edgar/edgarxmlta.htm. Please note:
- The transfer agent forms are interactive forms that display/hide questions based on whether the filer is required to answer. As a result, the filer may not be able to view all of the questions it is required to answer until it has completed the initial questions on the form.
- For example, on Form TA-2 only Questions 1 through 3 are shown until the transfer agent’s responses to those questions indicate that it is required to answer other questions on the form.
- See Instruction I.B. to Form TA-2 at this link: http://www.sec.gov/about/forms/formta-2.pdf for more information (The link is to both the form and the instructions. The instructions are at the bottom of the form).
- For assistance with preparing the transfer agent forms please contact the Office of Clearance and Settlement at 202-551-5710.
- For assistance with submitting the forms electronically on EDGAR, please contact EDGAR Filer Support at 202-551-8900.
Filing an amended Form TA-1. All SEC-registered transfer agents (i.e., non-bank transfer agents) are required to file an electronic amended Form TA-1 prior to filing their first electronic Form TA-2. Please note:
- The Commission blocks all Forms TA-1 and amended Forms TA-1 for review prior to accepting the form for filing.
- Form TA-2 will not be accepted for filing until after the Commission has completed its review of the Form TA-1 or the amended Form TA-1 and has accepted it for filing.
- Transfer agents should allow at least two weeks for review of Form TA-1 or amended Form TA-1.
- Transfer agents that wish to request the review of their Form TA-1 or amended Form TA-1 be completed in less than two weeks may call the Office of Clearance and Settlement at 202-551-5710 or may send an email to tradingandmarkets@sec.gov (please use the title “Review of Electronic Form TA-1” in the subject line).
Additional assistance. For further guidance please contact either the Office of Clearance and Settlement (202-551-5710) for substantive questions related to the forms or EDGAR Filer Support (202-551-8900) for questions related to accessing and submitting forms on EDGAR.
http://www.sec.gov/info/edgar/ednews/ta-filing.htm
