Securities and Exchange Commission September 11, 2006 – Federal Register Recent Federal Regulation Documents

Submission for OMB Review; Comment Request
Document Number: E6-14948
Type: Notice
Date: 2006-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
Electronic Filing of Transfer Agent Forms
Document Number: 06-7269
Type: Proposed Rule
Date: 2006-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``Commission'') is proposing to amend 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 would be filed on the Commission's EDGAR database in XML format and would be accessible to Commission staff and the public for search and retrieval. The proposed rulemaking would 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.