Rule 17Ac2-1, 17 CFR 240.17Ac2-1 and Form TA-1 (Transfer Agent Registration)

OMB 3235-0084

Rule 17Ac2-1 requires transfer agents for whom the Commission is the appropriate regulatory agency to file an application for registration on Form TA-1 and to amend Form TA-1 if information has become inaccurate, misleading, or incomplete. Form TA-1 requires transfer agents to provide basic information about their business including contact information, control persons, agency relationships and disciplinary history.

The latest form for Rule 17Ac2-1, 17 CFR 240.17Ac2-1 and Form TA-1 (Transfer Agent Registration) expires 2021-11-30 and can be found here.

SEC filings made via the EDGAR database are searchable on SEC.report, along with a feed of the latest filings for OMB 3235-0084: Form TA-1 filings .

Latest Forms, Documents, and Supporting Material

Document Name
Form SEC 1528 Form TA-1 Form and Instruction
3235-0084 60 Day Notice.pdf Supplementary Document
3235-0084 30 Day Notice.pdf Supplementary Document
DGL REVISED 2021 Rule 17Ac2-1 Supporting Statement.pdf Supporting Statement A
EDGAR PIA 2016.pdf Supplementary Document
Form TA-1 Form and Instruction
Rule 17Ac2-1, 17 CFR 240.17Ac2-1 (Transfer Agent Registration) New Registrants

All Historical Document Collections

202105-3235-002 Approved without change	Extension without change of a currently approved collection	2021-08-24
201801-3235-010 Approved without change	Extension without change of a currently approved collection	2018-07-26
201411-3235-002 Approved without change	Extension without change of a currently approved collection	2015-04-07
201111-3235-022 Approved with change	Extension without change of a currently approved collection	2012-01-26
200812-3235-016 Approved without change	Extension without change of a currently approved collection	2009-02-19
200703-3235-009 Approved without change	Revision of a currently approved collection	2007-03-14
200610-3235-009 Preapproved	Revision of a currently approved collection	2006-10-24
200603-3235-019 Approved without change	Extension without change of a currently approved collection	2006-03-30
200304-3235-002 Approved without change	Extension without change of a currently approved collection	2003-04-02
200003-3235-005 Approved without change	Extension without change of a currently approved collection	2000-03-01
199703-3235-034 Approved without change	Extension without change of a currently approved collection	1997-03-27
199404-3235-009 Approved without change	Extension without change of a currently approved collection	1994-04-11
199104-3235-003 Approved without change	Revision of a currently approved collection	1991-04-25
198804-3235-003 Approved without change	Revision of a currently approved collection	1988-04-13
198505-3235-004 Approved without change	Revision of a currently approved collection	1985-05-01
198501-3235-001 Approved without change	Revision of a currently approved collection	1985-01-07
198108-3235-032 Approved without change	New collection (Request for a new OMB Control Number)	1981-08-25

OMB Details

Form TA-1

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 1528

Form TA-1

www.sec.gov/about/forms/formta-1.pdf

Form and instruction

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