Form TA-1 - current version (last update September 2010) (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. The information collected includes the company name, all business addresses, and information about the registrant's proposed activities as a transfer agent.

Agency OMB Numbers:

FRB	FDIC	OCC	OTS
7100-0032	3064-0026	1557-0124	1550-0118

 

Purpose: The banking agencies use the information to act upon registration applications and to aid in performing supervisory duties. The banking agencies forward copies of completed registration forms to the Securities and Exchange Commission, which maintains registration data to aid in its statutory mandate to develop rules and standards applicable to all registered transfer agents.

Background: Section 17A(c) of the Securities Exchange Act of 1934, as amended in 1975, requires all transfer agents for securities registered under section 12 of the act to register "by filing with the appropriate regulatory agency...an application for registration in such form and containing such information and documents...as such appropriate regulatory agency may prescribe as necessary or appropriate in furtherance of the purposes of this section." The interagency reporting form was developed and implemented in 1975. Section 401 of the Financial Services Regulatory Relief Act of 2006, which amended the Securities Exchange Act of 1934, now recognizes the Office of Thrift Supervision (OTS) as an ARA for Municipal Securities Rulemaking Board, clearing agency, and transfer agent purposes. This amendment was effective January 11, 2007.

Respondent Panel: Any entity performing transfer agent functions for a security is required to register if the security is registered on a national securities exchange and if the issuer has total assets of $10 million and a class of equity security held of record by 500 or more persons.

Frequency: Event-generated

Public Release: The registrations are public filings and are not considered confidential.

Historical Versions:
Documents are in Portable Document Format (PDF).

2007	September