OMB control number
Rule 17Ad-16, Notice of assumption or termination of transfer agent services
OMB 3235-0413 · SEC.
OMB 3235-0413
Rule 17Ad-16, 17 CFR 240.17Ad-16, under the Securities Exchange Act of 1934, requires a registered transfer agent to provide written notice to the appropriate qualified registered securities depository when assuming or terminating transfer agent services on behalf of an issuer or when changing its name or address. In addition, transfer agents that provide such notice shall maintain such notice for a period of at least two years in an easily accessible place. This rule addresses the problem of certificate transfer delays caused by transfer requests that are directed to the wrong transfer agent or the wrong address.
The latest form for Rule 17Ad-16, Notice of assumption or termination of transfer agent services expires 2028-09-30 and is listed under ICR 202502-3235-009.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 20250801_3235-0413_2025-14554_90 FR 36245_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 20250801_3235-0413_2025-14554_90 FR 36245_30-Day Submission Notice.pdf.pdf | Supplementary Document |
| 3235-0413 Supporting Statement (2025 Extension).pdf | Supporting Statement A |
| Zions Bancorporation Comments on 17Ad-16_Signed.pdf (document unavailable) | Public Comments |
| May 5, 2025 ABA Letter to SEC re Rule 17Ad–16.pdf (document unavailable) | Public Comments |
| UMB Response - SEC Rule 17Ad-16 (FR Doc. 2025-03434).pdf (document unavailable) | Public Comments |
| 2025 03 04_90 FR 11198_3235-0413_60-Day Collection Notice.pdf | Supplementary Document |
| 2025 03 04_90 FR 11198_3235-0413_60-Day Collection Notice.pdf | Supplementary Document |
 Notice of Assumption or Termination of Transfer Agent Services |
Information collection |