OMB control number
Transfer Agent Registration and Amendment Form; Transfer Agent Deregistration
OMB 7100-0099 · FRS.
OMB 7100-0099
The Securities Exchange Act of 1934 (the Act) requires any person acting as a transfer agent to register as such with the appropriate regulatory agency (ARA). The Board is the ARA for state member banks (SMBs) and their subsidiaries, bank holding companies (BHCs), savings and loan holding companies (SLHCs), and certain other subsidiaries of BHCs. Transfer agents for which the Board is the ARA must register with the Board using Form TA-1. Additionally, registered transfer agents for which the Board is their ARA may deregister by submitting Form TA-W.
The latest form for Transfer Agent Registration and Amendment Form; Transfer Agent Deregistration expires 2026-12-31 and is listed under ICR 202212-7100-005.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 Form Form TA-1 Registrations (Form TA-1) | Form |
| Form Form TA-1 Amendments (Form TA-1) | Form |
| FormTA1_FormTAW_20221216_omb.pdf | Supporting Statement A |
 Registrations (Form TA-1) |
Form |
| Deregistrations (Form TA-W) |
Other-Draft Form |
| Amendments (Form TA-1) |
Form |
All Historical Document Collections
OMB Details
Registrations (Form TA-1)
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight
| Form | Name | Electronic access | Type |
|---|---|---|---|
| Form Form TA-1 | Transfer Agent Registration and Amendment Form | www.ffiec.gov/ffiec_report_forms.htm | Form |
| Form | www.ffiec.gov/ffiec_report_forms.htm | Instruction |
Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.