Form TA-1, Registered Transfer Agents - FDIC - fdic 2025

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Transfer agents are usually banks or trust companies, but sometimes a company acts as its own transfer agent. Transfer agents are required to be registered with the SEC, or if the transfer agent is a bank, with a bank regulatory agency.
Form TA-1 is to be used to register or amend registration as a transfer agent.
Transfer agents perform the following main functions: Issuance and Transfer: Issue and cancel certificates to reflect changes in ownership. For example, when a company declares a stock dividend or stock split, the transfer agent issues new shares.
Since FDIC-insured banks act as transfer agent for most of the corporate equity and debt securities issued in the U.S., as well as acting as bond registrar for most municipal debt securities, the FDIC carries out an important function for realizing the objectives of the 1934 Act.
Examination of Transfer Agent Market Share in 2022 The top 5 transfer agents for the total population market share include Computershare/ Mellon, Equiniti Trust Co/American Stock Transfer Trust, Continental Stock Transfer Trust, Broadridge, and Vstock Transfer.

People also ask

What Is a Transfer Agent? A transfer agent is a trust company, bank, or similar institution assigned by a corporation for the purposes of maintaining an investors financial records and tracking each investors account balance.
The amended rules will require registered transfer agents, including national bank registered transfer agents, to file Form TA-2, Form for Reporting Activities of Transfer Agents, electronically through the SECs Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

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