Reporting Requirements for Transfer Agents

OMB 3064-0026

Any person acting as a transfer agent must register as such and amend the registration information when it changes. Registrations and amendments are considered collections of information under the Paperwork Reduction Act.

The latest form for Reporting Requirements for Transfer Agents expires 2023-01-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form TA-1 Transfer Agent Amendment Form Form and Instruction
Form 6342-12 TA-W Transfer Agent Deregistration Form and Instruction
SPST-0026 Reporting Requirements for Transfer Agents 2023 Renewal - FINAL.docx Supporting Statement A
FR2-0026 Reporting Requirements for Transfer Agents 87 FR 63495 Oct 19 2022.pdf Supplementary Document
FR1 0026 Reporting Requirements for Transfer Agents 87 FR 51415 August 22 2022.pdf Supplementary Document
Transfer Agent Amendment Form Form and Instruction
Transfer Agent Deregistration Form and Instruction
Transfer Agent Initial Registration

All Historical Document Collections

202208-3064-001 Approved without change	Revision of a currently approved collection	2023-01-13
201911-3064-003 Approved without change	Extension without change of a currently approved collection	2019-12-17
201609-3064-001 Approved without change	Revision of a currently approved collection	2016-09-01
201307-3064-010 Approved without change	Extension without change of a currently approved collection	2013-07-31
201307-3064-007 Improperly submitted and continue	Extension without change of a currently approved collection	2013-07-24
201005-3064-008 Approved without change	Extension without change of a currently approved collection	2010-08-04
200707-3064-001 Approved without change	Revision of a currently approved collection	2007-07-10
200406-3064-003 Approved without change	Extension without change of a currently approved collection	2004-06-30
200106-3064-001 Approved without change	Extension without change of a currently approved collection	2001-06-01
199805-3064-002 Approved without change	Extension without change of a currently approved collection	1998-05-29
199503-3064-002 Approved without change	Revision of a currently approved collection	1995-03-07
199308-3064-003 Approved without change	Revision of a currently approved collection	1993-08-19
199009-3064-004 Approved without change	Revision of a currently approved collection	1990-09-25
198804-3064-004 Approved without change	Revision of a currently approved collection	1988-04-18
198706-3064-001 Approved without change	Revision of a currently approved collection	1987-06-08
198609-3064-016 Approved with change	No material or nonsubstantive change to a currently approved collection	1986-09-08
198510-3064-010 Approved with change	No material or nonsubstantive change to a currently approved collection	1985-10-25
198408-3064-003 Approved without change	Revision of a currently approved collection	1984-08-13
198201-3064-001 Approved without change	Revision of a currently approved collection	1982-01-28
198111-3064-002 Approved without change	Revision of a currently approved collection	1981-11-02
198104-3064-026 Approved without change	Revision of a currently approved collection	1981-04-30

OMB Details

Transfer Agent Amendment Form

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form TA-1

Transfer Agetn Registration and Amendment Form

Fillable Printable

Form and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.