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What is Section 17A C )( 1 of the Exchange Act?

Transfer Agent Registration Pursuant to Section 17A(c)(1) of the Securities Exchange Act of 1934, it is unlawful for a transfer agent to perform any transfer agent function with respect to any qualifying security unless that transfer agent is registered with its appropriate regulatory authority (ARA).

What is an example of a transfer agent?

Meaning of Transfer Agent. A transfer agent tracks and maintains the records of an organizations shareholders. Some examples of transfer agents are financial companies, trust companies, banks, or individuals. Listed firms often assign their shareholders data management to a transfer agent.

Are transfer agents regulated?

Transfer agents are required to be registered with the SEC, or if the transfer agent is a bank, with a bank regulatory agency. Most issuers identify their transfer agent on their company website under the Investor Relations tab.

What is a registered transfer agent?

Transfer agents work for the security issuer to record changes of ownership, maintain the issuers security holder records, cancel and issue certificates, and distribute dividends.

What is the transfer agent registration and amendment form?

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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