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Electronic Filing of Transfer Agent Forms

SEC · final-rule · Published 2006-12-12 · Effective 2007-01-11 · 71 FR 74698

Document

Document number
06-9600
Federal Register citation
71 FR 74698
CFR reference
17 CFR 232
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2006-12-12
Effective date
2007-01-11
Docket
Release No. 34-54864

Abstract

The Securities and Exchange Commission ("Commission") is adopting amendments to the rules and forms under Section 17A of the Securities Exchange Act of 1934 ("Act") to require that the forms filed with respect to transfer agent registration, annual reporting, and withdrawal from registration be filed with the Commission electronically. The forms will be filed on the Commission's EDGAR database in XML format and will be accessible to Commission staff and the public for search and retrieval. The amendments will improve the Commission's ability to utilize the information reported on the forms in performing its oversight function of transfer agent operations and to publicly disseminate the information on the forms.

Source

Authoritative
Federal Register document
Machine
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