General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 17Ac2-1 -- Application for Registration of Transfer Agents
An application for registration, pursuant to section
17A(c) of the Act, of a transfer agent for which the Commission is the appropriate
regulatory agency, as defined in section 3(a)(34)(B)
of the Act, shall be filed with the Commission on Form TA-1, in accordance with
the instructions contained therein and shall become effective on the thirtieth
day following the date on which the application is filed, unless the Commission
takes affirmative action to accelerate, deny or postpone such registration in
accordance with the provisions of section 17A(c) of the Act.
The filing of any amendment to an application for
registration as a transfer agent pursuant to paragraph (a) of this section, which
registration has not become effective, shall postpone the effective date of the
registration until the thirtieth day following the date on which the amendment
is filed, unless the Commission takes affirmative action to accelerate, deny or
postpone the registration in accord- ance with the provisions of section 17A(c)
of the Act.
If any of the information reported on Form TA-1 becomes inaccurate, misleading, or incomplete, the registrant shall correct the information by filing an amendment within sixty days following the date on which the information becomes inaccurate, misleading, or incomplete.
Every registration and amendment filed pursuant to this section shall be filed with the Commission electronically in the Commission's EDGAR system. Transfer agents should refer to Form TA-1 and the instructions to the form and to the EDGAR Filer Manual for the technical requirements and instructions for electronic filing. Transfer agents that have previously filed a Form TA -1 with the Commission must refile the information on their Form TA-1, as amended, in electronic format in EDGAR as an amended Form TA-1.
Every registration and amendment filed pursuant
to this section shall constitute a "report" or "application"
within the meaning of sections 17, 17A(c), and
32(a) of the Act.
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