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Form TA-1

What is it: Application for registration as a transfer agent. Companies that have publicly traded securities typically use transfer agents to keep track of the individuals and entities that own their stocks and bonds. Most transfer agents are banks or trust companies, but sometimes a company acts as its own transfer agent. Transfer agents have three main functions 1) Issue and cancel certificates to reflect changes in ownership; 2) Act as an intermediary for the company; 3) Handle lost, destroyed, or stolen certificates. Check www.sec.gov for more details.

Filing Time:

Related Form(s):
Form TA-W: Notice of withdrawal from registration as transfer agent.
Form TA-2: Transfer agent annual report.

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