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

OMB 3235-0084

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 .

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Form TA-1

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 1528Form TA-1www.sec.gov/about/forms/formta-1.pdfForm and instruction

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


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