Securities and Exchange Commission December 12, 2006 – Federal Register Recent Federal Regulation Documents

Electronic Filing of Transfer Agent Forms
Document Number: 06-9600
Type: Rule
Date: 2006-12-12
Agency: Securities and Exchange Commission, Agencies and Commissions
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.