Transfer Agent Forms

Transfer Agent Forms 

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 typically files forms TA-1, TA-2, TA-W.

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.

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.

TA-2

Form TA-2 is completed by Transfer Agents when submitting their Annual Report of transfer activities pursuant to Section 17A of the Securities Exchange Act of 1934

TA-W

Form TA-W is used as notice of Withdrawal from Registration as Transfer Agent pursuant to Section 17A of the Securities Exchange Act of 1934

Additionally, Transfer Agents may file TA-1/A or TA-2/A to amend information previously filed. 

Resources
Information About Transfer Agent Registration
Form TA-1 template
Form TA-2 template
Form TA-W template

Call a Sales Representative on filing your Transfer Agent Forms at 904-363-0506.