UNITED STATES 

SECURITIES AND 

EXCHANGE COMMISSION

Washington, D.C. 20549

FORM TA-1

UNIFORM FORM FOR REGISTRATION AS A TRANSFER AGENT AND FOR 

AMENDMENT

TO REGISTRATION PURSUANT TO SECTION 17A OF THE 

SECURITIES EXCHANGE ACT OF 1934

Form TA-1 is to be used to register or amend registration as a transfer agent 

with the Comptroller of the Currency, the Board of Governors of the Federal 

Reserve System, the Federal Deposit Insurance Corporation or the Securities

GENERAL: and Exchange Commission pursuant to Section 17A of the Securities 

Exchange Act of 1934.

Read all instructions before completing this form. Please print or type all 

responses.

Check to show blank form for printing

1(a).Filer CIK: 1(b).Filer CCC:

1(c). Live/Test 

Filing?  Live  Test

1(d). Return Copy  Yes

1(e). Is this filing an amendment to a 

previous filing?

1(e)(i). File Number: 084-

1(f)(i). Contact Name: 1(f)(ii). Contact Phone

Number:

 Yes

1(f)(iii). Contact E-mail 

Address:

1(g). Notification E-mail Address:

SEC 1528 (12-06) Persons who respond to the collection of information contained in 

this form are not required to respond unless the form displays a 

currently valid OMB control number.

OMB Number: 3235-0084

Expires: October 31, 2024

Estimated average burden 

hours per response. .. 1.5

OMB Approval
2. Appropriate regulatory agency (check one):

 Securities and Exchange Commission

 Board of Governors of the Federal Reserve System

 Federal Deposit Insurance Corporation

 Comptroller of the Currency

 Office of Thrift Supervision

3(a). Full Name of Registrant:

3(a)(i). Previous name, if being amended:

3(b). Financial Industry 

Number Standard (FINS) 

number:

3(c). Address of principal office where transfer agent activities are, or will be, 

performed:

3(c)(i). Address 1

3(c)(ii). Address 2

3(c)(iii). City

3(c)(iv). State or Country

3(c)(v). Postal Code

3(d). Is mailing address different from response to Question 

3(c)?

If "yes," provide address(es):

Yes No

 
3(d)(iv).State or Country

3(d)(v).Postal Code

3(e). Telephone Number 

(Include Area Code)

4. Does registrant conduct, or will it conduct, transfer agent Yes No

activities at any location other than that given in Question 

3(c) above?  

If "yes," provide address(es):

4(a)(i). Address #1

4(a)(ii). Address #2

4(a)(iii). City

4(a)(iv). State or Country

4(a)(v). Postal Code

5. Does registrant act, or will it act, as a transfer agent solely Yes No

for its own securities and/or securities of an affiliate(s)?  

6. Has registrant, as a named transfer agent, engaged, or Yes No

will it engage, a service company to perform any transfer

agent functions?  

If "yes," provide the name(s) and address(es) of all service companies engaged, 

or that will be engaged, by the registrant to perform its transfer agent functions:

6(a). Name:

6(b). File

-

Number:

6(c)(i). Address 1

6(c)(ii). Address 2
6(c)(iii). City

6(c)(iv). State or Country

6(c)(v). Postal Code

7. Has registrant been engaged, or will it be engaged, as a 

service company by a named transfer agent to perform 

transfer agent functions?

Yes No

 

If "yes," provide the name(s) and File Number(s) of the named transfer agent(s) 

for which the registrant has been engaged, or will be engaged, as a service 

company to perform transfer agent functions:

7(a). Name:

7(b). File

-

Number:

7(c)(i). Address 1

7(c)(ii). Address 2

7(c)(iii). City

7(c)(iv). State or Country

7(c)(v). Postal Code

Completion of Question 8 on this form is required by all independent, non-issuer registrants 

whose appropriate regulatory authority is the Securities and Exchange Commission. Those 

registrants who are not required to complete Question 8 should select "Not Applicable."

 Corporation

 Partnership

8. Is  Sole Proprietorship

registrant a:

 Other

 Not Applicable

Section for Initial Registration and for Amendments Reporting Additional 

Persons. (Corporation or Partnership)

8(a)(i). Full Name
8(a)(ii). Relationship Start 

Date

8(a)(iii). Title or Status

8(a)(iv). Ownership Code

8(a)(v). Control Person 

8(a)(vi). Relationship End 

Date

 NA - 0 to 5%

 A - 5% up to 10%

 B - 10% up to 25%

 C - 25% up to 50%

 D - 50% up to 75%

 E - 75% up to 100%



Section for Initial Registration and for Amendments Reporting Additional 

Persons. (Sole Proprietorship or Other)

8(a)(i). Full Name

8(a)(ii). Relationship Start 

Date

8(a)(iii). Title or Status 

8(a)(iv). Description of 

Authority

8(a)(v). Relationship End Date

9. Does any person or entity not named in the answer to Question 8:

9(a). Directly or indirectly, through agreement or otherwise 

exercise or have the power to exercise control over the 

management or policies of applicant; or . . . .

9(a)(i). Exact name of each person or entity

Yes No

 

9(a)(ii). Description of the Agreement or other basis

9(b). Wholly or partially finance the business of applicant, directly 

or indirectly, in any manner other than by a public offering of 

securities made pursuant to the Securities Act of 1933 or by credit 

extended in the ordinary course of business by suppliers, banks 

and others ? . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes No

 

9(b)(i). Exact name of each person or entity
9(b)(ii). Description of the Agreement or other basis

10. Applicant and Control Affiliate Disciplinary History:

The following definitions apply for purposes of answering this Question 10

- An individual or firm that directly or indirectly controls, is 

under common control with, or is controlled by applicant. 

Included are any employees identified in 8(a), 8(b), 8(c) of

Control affiliate this form as exercising control. Excluded are any employees 

who perform solely clerical, administrative support of similar 

functions, or who, regardless of title, perform no executive 

duties or have no senior policy making authority.

- Pertaining to securities, commodities, banking, insurance, 

Investment or or real estate (including, but not limited to, acting as or 

investment being associated with a broker-dealer, investment company, 

related investment adviser, futures sponsor, bank, or savings and

loan association).

- Doing an act of aiding, abetting, counseling, commanding,

Involved inducing, conspiring with or failing reasonably to supervise 

another in doing an act.

10(a). In the past ten years has the applicant or a control affiliate been convicted 

of or plead guilty or nolo contender ("no contest") to:

10(a)(1). A felony or misdemeanor involving: investments or an 

investment-related business, fraud, false statements or omissions, 

wrongful taking of property, or bribery, forgery, counterfeiting or 

extortion? . . . . . . . . . . . .

Yes No

 

10(a)(1)(i). The individuals named in the Action

10(a)(1)(ii). Title of Action 10(a)(1)(iii). Date of 

Action

10(a)(1)(iv). The Court or body taking the Action and its location

10(a)(1)(v). Description of the Action

10(a)(1)(vi). The disposition of the proceeding
10(a)(2). Any other felony? . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes No

 

10(a)(2)(i). The individuals named in the Action

10(a)(2)(ii). Title of Action 10(a)(2)(iii). Date of 

Action

10(a)(2)(iv). The Court or body taking the Action and its location

10(a)(2)(v). Description of the Action

10(a)(2)(vi). The disposition of the proceeding

10(b). Has any court in the past ten years:

10(b)(1). Enjoined the applicant or a control affiliate in connection Yes No

with any investment-related activity? . . . . . . . . . . . . . . . . . . . . .  

10(b)(1)(i). The individuals named in the Action

10(b)(1)(ii). Title of Action 10(b)(1)(iii). Date of 

Action

10(b)(1)(iv). The Court or body taking the Action and its location

10(b)(1)(v). Description of the Action

10(b)(1)(vi). The disposition of the proceeding

10(b)(2). Found that the applicant or a control affiliate was involved 

in a violation of investment-related statutes or regulations? . . . . .

Yes



No



10(b)(2)(i). The individuals named in the Action

10(b)(2)(ii). Title of Action 10(b)(2)(iii). Date of 

Action

10(b)(2)(iv). The Court or body taking the Action and its location

10(b)(2)(v). Description of the Action
10(b)(2)(vi). The disposition of the proceeding

10(c). Has the U.S. Securities and Exchange Commission or the Commodity 

Futures Trading Commission ever:

10(c)(1). Found the applicant or a control affiliate to have made a 

false statement or omission? . . . . . . . . . . . . . . . . . . . . . . . . . .

10(c)(1)(i). The individuals named in the Action

Yes No

 

10(c)(1)(ii). Title of Action 10(c)(1)(iii). Date of 

Action

10(c)(1)(iv). The Court or body taking the Action and its location

10(c)(1)(v). Description of the Action

10(c)(1)(vi). The disposition of the proceeding

10(c)(2). Found the applicant or a control affiliate to have been 

involved in a violation of its regulations or statutes? . . . . . . . . .

Yes

. 

No



10(c)(2)(i). The individuals named in the Action

10(c)(2)(ii). Title of Action 10(c)(2)(iii). Date of 

Action

10(c)(2)(iv). The Court or body taking the Action and its location

10(c)(2)(v). Description of the Action

10(c)(2)(vi). The disposition of the proceeding

10(c)(3). Found the applicant or a control affiliate to have been a 

cause of an investment-related business having its authorization 

to do business denied, suspended, revoked or restricted? . . . . . .

10(c)(3)(i). The individuals named in the Action

Yes No

 

10(c)(3)(ii). Title of Action 10(c)(3)(iii). Date of

Action
10(c)(3)(iv). The Court or body taking the Action and its location

10(c)(3)(v). Description of the Action

10(c)(3)(vi). The disposition of the proceeding

10(c)(4). Entered an order denying, suspending or revoking the 

applicant's or a control affiliate's registration or otherwise 

disciplined it by restricting its activities? . . . . . . . . . . . . . . . . . . .

10(c)(4)(i). The individuals named in the Action

Yes No

 

10(c)(4)(ii). Title of Action 10(c)(4)(iii). Date of

Action

10(c)(4)(iv). The Court or body taking the Action and its location

10(c)(4)(v). Description of the Action

10(c)(4)(vi). The disposition of the proceeding

10(d). Has any other Federal regulatory agency or any state regulatory agency:

10(d)(1). ever found the applicant or a control affiliate to have made 

a false statement or omission or to have been dishonest, unfair, or 

unethical? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10(d)(1)(i). The individuals named in the Action

Yes No

 

10(d)(1)(ii). Title of Action 10(d)(1)(iii). Date of 

Action

10(d)(1)(iv). The Court or body taking the Action and its location

10(d)(1)(v). Description of the Action

10(d)(1)(vi). The disposition of the proceeding

10(d)(2). ever found the applicant or a control affiliate to have been 

involved in a violation of investment-related regulations or 

statutes? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes No

 
10(d)(2)(i). The individuals named in the Action

10(d)(2)(ii). Title of Action 10(d)(2)(iii). Date of

Action

10(d)(2)(iv). The Court or body taking the Action and its location

10(d)(2)(v). Description of the Action

10(d)(2)(vi). The disposition of the proceeding

10(d)(3). Ever found the applicant or a control affiliate to have been 

a cause of an investment-related business having its authorization 

to do business denied, suspended, revoked, or restricted? . . . . . .

10(d)(3)(i). The individuals named in the Action

Yes No

 

10(d)(3)(ii). Title of Action 10(d)(3)(iii). Date of

Action

10(d)(3)(iv). The Court or body taking the Action and its location

10(d)(3)(v). Description of the Action

10(d)(3)(vi). The disposition of the proceeding

10(d)(4). In the past ten years entered an order against the 

applicant or a control affiliate in connection with investmentrelated activity? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10(d)(4)(i). The individuals named in the Action

Yes No

 

10(d)(4)(ii). Title of Action 10(d)(4)(iii). Date of

Action

10(d)(4)(iv). The Court or body taking the Action and its location

10(d)(4)(v). Description of the Action

10(d)(4)(vi). The disposition of the proceeding
10(d)(5). Ever denied, suspended, or revoked the applicant's or a 

control affiliate's registration or license, or prevented it from 

associating with an investment-related business, or otherwise 

disciplined it by restricting its activities? . . . . . . . . . . . . . . . . . . .

10(d)(5)(i). The individuals named in the Action

Yes No

 

10(d)(5)(ii). Title of Action 10(d)(5)(iii). Date of

Action

10(d)(5)(iv). The Court or body taking the Action and its location

10(d)(5)(v). Description of the Action

10(d)(5)(vi). The disposition of the proceeding

10(d)(6). Ever revoked or suspended the applicant's or a control 

affiliate's license as an attorney or accountant? . . . . . . . . . . . . . .

10(d)(6)(i). The individuals named in the Action

Yes No

 

10(d)(6)(ii). Title of Action 10(d)(6)(iii). Date of 

Action

10(d)(6)(iv). The Court or body taking the Action and its location

10(d)(6)(v). Description of the Action

10(d)(6)(vi). The disposition of the proceeding

10(e). Has any self-regulatory organization or commodities exchange ever:

10(e)(1). Found the applicant or a control affiliate to have made a

false statement or omission? . . . . . . . . . . . . . . . . . . . . . . . . .

Yes No

 
10(e)(1)(i). The individuals named in the Action

10(e)(1)(ii). Title of Action 10(e)(1)(iii). Date of

Action

10(e)(1)(iv). The Court or body taking the Action and its location

10(e)(1)(v). Description of the Action

10(e)(1)(vi). The disposition of the proceeding

10(e)(2). Found the applicant or a control affiliate to have been 

involved in a violation of its rules? . . . . . . . . . . . . . . . . . . . . .

10(e)(2)(i). The individuals named in the Action

Yes No

 

10(e)(2)(ii). Title of Action 10(e)(2)(iii). Date of 

Action

10(e)(2)(iv). The Court or body taking the Action and its location

10(e)(2)(v). Description of the Action

10(e)(2)(vi). The disposition of the proceeding

10(e)(3). Found the applicant or a control affiliate to have been 

the cause of an investment-related business losing its

authorization to do business? . . . . . . . . . . . . . . . . . . . . . . . . .

10(e)(3)(i). The individuals named in the Action

Yes No

 

10(e)(3)(ii). Title of Action 10(e)(3)(iii). Date of 

Action

10(e)(3)(iv). The Court or body taking the Action and its location

10(e)(3)(v). Description of the Action

10(e)(3)(vi). The disposition of the proceeding
10(e)(4). Disciplined the applicant or a control affiliate by 

expelling or suspending it from membership, by barring or

suspending its association with other members, or by 

otherwise restricting its activities? . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . .

10(e)(4)(i). The individuals named in the Action

Yes No

 

10(e)(4)(ii). Title of Action 10(e)(4)(iii). Date of 

Action

10(e)(4)(iv). The Court or body taking the Action and its location

10(e)(4)(v). Description of the Action

10(e)(4)(vi). The disposition of the proceeding

10(f). Has any foreign government, court, regulatory agency, or 

exchange ever entered an order against the applicant or a control 

affiliate related to investments or fraud? . . . . . . . . . . . . . . . . . .

10(f)(1)(i). The individuals named in the Action

Yes No

 

10(f)(1)(ii). Title of Action 10(f)(1)(iii). Date of 

Action

10(f)(1)(iv). The Court or body taking the Action and its location

10(f)(1)(v). Description of the Action

10(f)(1)(vi). The disposition of the proceeding

10(g). Is the applicant or a control affiliate now the subject of any 

proceeding that could result in a yes answer to questions 10(a) -

10(f)?

10(g)(1)(i). The individuals named in the Action

Yes No

 

10(g)(1)(ii). Title of Action 10(g)(1)(iii). Date of 

Action

10(g)(1)(iv). The Court or body taking the Action and its location
10(g)(1)(v). Description of the Action

10(g)(1)(vi). The disposition of the Proceeding

10(h). Has a bonding company denied, paid out on, or revoked a 

bond for the applicant or a control affiliate? . . . . . . . . . . . . . . . .

Yes



No



10(h)(1)(i). The individuals named in the Action

10(h)(1)(ii). Title of Action 10(h)(1)(iii). Date of 

Action

10(h)(1)(iv). The Court or body taking the Action and its location

10(h)(1)(v). Description of the Action

10(h)(1)(vi). The disposition of the Proceeding

10(i). Does the applicant or a control affiliate have any unsatisfied 

judgments or liens against it? . . . . . . . . . . . . . . . . . . . . . . . . . .

10(i)(1)(i). The individuals named in the Action

Yes No

 

10(i)(1)(ii). Title of Action 10(i)(1)(iii). Date of 

Action

10(i)(1)(iv). The Court or body taking the Action and its location

10(i)(1)(v). Description of the Action

10(i)(1)(vi). The disposition of the proceeding

ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT 

CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 

15 U.S.C. 78ff(a)

SIGNATURE: The registrant submitting this form, and as required, the SEC
herein is true, correct and complete.

11(a). Signature of Official responsible for Form: 11(b). Telephone Number:

11(c). Title of Signing Officer: 11(d).Date Signed 

(Month/Day/Year):

12. Related Documents/Attachments

12(a). File Name:

 COVER

12(b). Type of  CORRESP

Attachment:

 GRAPHIC

12(c). Type of 

Attachment 

Additional 

Description:

12(d). Attachment 

Description:

12(e). File:
UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549 

Instructions for Use of Form TA-1

Application for Registration and Amendment to Registration as a Transfer Agent 

Pursuant to Section 17A of the Securities Exchange Act of 1934

ATTENTION: This electronic Form TA-1 is to be filed only by SEC registrants. All 

other registrants file Form TA-1 in paper format with their Appropriate Regulatory 

Authority and should obtain the form from such authority.

Certain sections of the Securities Exchange Act of 1934 applicable to transfer agents 

are referenced or summarized below. Registrants are urged to review all applicable 

provisions of the Securities Exchange Act of 1934, the Securities Act of 1933 and the 

Investment Company Act of 1940, as well as the applicable rules promulgated by the 

SEC under those Acts.

I. General Instructions for Filing and Amending Form TA-1.

A. Terms and Abbreviations. The following terms and abbreviations are used throughout 

these instructions:

1. “Act” refers to the Securities Exchange Act of 1934.

2. “ARA” refers to the appropriate regulatory agency, as defined in Section 

3(a)(34)(B) of the Act. See General Instruction D below.

3. “Form TA-1” is the Form filed as a registration and includes the Form and any 

attachments to that Form.

4. “Registrant” refers to the entity on whose behalf Form TA-1 is filed.

5. “SEC” or “Commission” refers to the U.S. Securities and Exchange Commission.
6. “Transfer agent” is defined in Section 3(a)(25) of the Act as any person who 

engages on behalf of an issuer of securities or on behalf of itself as an issuer in at 

least one of the functions enumerated therein.

7. “Independent, Non-Issuer Transfer Agent” refers to an entity which acts as a 

transfer agent for other than its own securities or securities of an affiliate.

8. “Regulation S-T” is the SEC’s regulation containing the rules related to filing 

electronic documents in EDGAR. 17 CFR 232 et seq.

9. “EDGAR” (Electronic Data Gathering, Analysis, and Retrieval) is the computer 

system for the receipt, acceptance, review, and dissemination of documents 

submitted to the Commission in electronic format.

10. “EDGAR Filer Manual” is the manual prepared by the SEC setting out the 

technical format requirements for an electronic submission to EDGAR.

11. “EDGARLite” is an application in EDGAR that registrants may use to create the 

electronic Form TA-1 for submission to EDGAR.

B. Who Must File. Pursuant to Section 17A(c)(1) of the Act, it is unlawful for a transfer 

agent to perform any transfer agent function with respect to any qualifying security 

unless that transfer agent is registered with its ARA. A qualifying security is any 

security registered under Section 12 of the Act. Thus, qualifying securities including 

securities registered on a national securities exchange pursuant to Section 12(b) of the 

Act as well as equity securities registered pursuant to Section 12(g)(1) of the Act for 

issuers that have total assets exceeding $3,000,000 and a class of equity securities 

(other than exempted securities) held of record by 500 or more persons. In addition, 

qualifying securities include equity securities of registered investment companies and
certain insurance companies that would be required to be registered under Section 

12(g) except for the exemptions provided by paragraphs (g)(2)(B) and (g)(2)(G), 

respectively, of Section 12, i.e., when the asset and shareholder criteria of Section 

12(g)(1)(B) are met.

C. When to File. Before a transfer agent may perform any transfer agent function for a 

qualifying security, it must apply for registration on Form TA-1 with its ARA and its 

registration must become effective. Instructions for amending Form TA-1 appear at 

General Instruction H.

D. How to File. Registrants file electronically in EDGAR. Registrants should refer to 

the EDGAR Filer Manual, which is available on the SEC's Web site, www.sec.gov, 

for the instructions for preparing forms in EDGARLiteTM and filing forms in EDGAR 

as well as for the computer hardware and software requirements for electronic filing. 

A Form TA-1 or an amended Form TA-1 which is not completed properly may be 

suspended as not acceptable for filing. Acceptance of this form, however, does not 

mean that the Commission has found that it has been filed as required or that the 

information submitted therein is true, correct or complete.

Registrants that are granted a hardship exemption from electronic filing under Rule 

202 of Regulation S-T, 17 CFR 232.202, will be provided with instructions on how 

and where to file a paper Form TA-1.

A registrant that wishes to include a cover letter or other correspondence may do so 

by including the document as an attachment to the Form.

E. EDGAR Access. Before registrants may prepare the Form in EDGARLiteTM or file 

the Form in EDGAR they must apply for access to EDGAR. Registrants should refer
to the EDGAR Filer Manual, Volume I (General Instructions) for information on 

accessing EDGAR.

F. Records. Each registrant must keep an exact copy of any filing for its records.

Registrants should refer to 17 CFR 240.17Ad-6 and 240.17Ad-7 for information 

regarding the recordkeeping rules for transfer agents.

G. Effective Date. Registration of a transfer agent becomes effective thirty days after 

receipt by the ARA of the application for registration unless the filing does not 

comply with applicable requirements or the ARA takes affirmative action to 

accelerate, deny, or postpone registration in accordance with the provisions of Section 

17A(c) of the Act.

H. Amending Registration. Each registrant must amend Form TA-1 within sixty calendar 

days following the date on which information reported therein becomes inaccurate, 

incomplete, or misleading.

1. Registrants amend Form TA-1 by responding “Yes” to Question 1(e).

2. All fields that are required to be completed on the registrant’s Form TA-1 must be 

completed on the amended Form TA-1. The transfer agent may use a saved 

electronic version of a previously filed Form TA-1 or amended Form TA-1 as a 

template for the amended filing and create the amended form by revising the 

responses for which the information has become inaccurate, incomplete, or 

misleading. (For instructions on using a saved form as a template for an amended 

filing, registrants should refer to the EDGAR Filer Manual.)

II. Special Instructions for Filing and Amending Form TA-1.

A. Electronic Filing. Beginning January 11, 2007, all transfer agent forms (Form TA-1,
Form TA-2, and Form TA-W) filed with the SEC must be filed electronically in 

EDGAR. Transfer agents that are registered with the SEC must refile electronically 

the information on their Form TA-1, as amended, with the SEC on an amended Form 

TA-1. The SEC will not accept any other transfer agent form from such transfer 

agents until they have filed an electronic amended Form TA-1.

B. Exemptions from Electronic Filing. The SEC may in limited cases grant an 

exemption from electronic filing where the filer can show that an electronic filing 

requirement creates an unreasonable burden or expense. Registrants should refer to 

Rule 202 of Regulation S-T, 17 CFR 232.202, and the SEC's Web site, www.sec.gov, 

for information on applying for a hardship exemption.

C. Registration. Registrants must provide full and complete responses in the appropriate 

format.

1. Information relating to electronic filing. As an EDGAR filer, a registrant is 

required to provide the following:

a. Whether the form is a “live” or “test” filing submission;

b. Whether the registrant would like a Return Copy of the filing;

c. The registrant’s CIK;

d. The registrant’s CCC; and

e. The contact e-mail address for the registrant;

f. The notification e-mail address(es) for the registrant regarding the status 

of the submission.

Detailed instructions regarding the above are provided in the EDGAR Filer Manual, 

Volume I (General Requirements). A registrant that is granted a continuing hardship
exemption from electronic filing pursuant to Rule 202 of Regulation S-T, 17 CFR 

232.202, need only to provide its CIK.

2. In answering Question 3.b. of Form TA-1, the term Financial Industry Number 

Standard (FINS number) means a six digit number assigned by The Depository 

Trust Company (DTC) upon request to financial institutions engaged in activities 

involving securities. Registrants that do not have a FINS number may obtain one 

by requesting it following the steps described on the DTC Web site 

(www.dtc.org).

3. State in Question 3.c. the full address of the registrant's principal office where 

transfer agent activities are, or will be, performed; a post office box number is not 

acceptable. State in response to Question 3.d. the registrant's mailing address if 

different from the response to Question 3.c. You may provide a post office box 

number in response to Question 3.d.

4. For the purpose of answering Question 5, a transfer agent is an affiliate of, or 

affiliated with, a person, if the transfer agent directly, or indirectly through one or 

more intermediaries, controls, or is controlled by, or is under common control 

with, that person.

5. In answering Questions 6 and 7, a “named transfer agent” is a transfer agent 

engaged by the issuer to perform transfer agent functions for an issue of 

securities. There may be more than one named transfer agent for a given security 

issue (e.g., principal transfer agent, co-transfer agent or outside registrar).

D. Questions 8 through 10. Only independent, non-issuer registrants are required to 

complete Questions 8 through 10.
E. Execution of Form TA-1 and Amendments Thereto. A duly authorized official or a 

principal of the registrant must execute Form TA-1 and any amendments thereto on 

behalf of that registrant. For a corporate registrant, the term official includes the 

chairman or vice-chairman of the board of directors, the chairman of the executive 

committee, or any officer of the corporation who is authorized by the corporation to 

sign Form TA-1 on its behalf. For a non-corporate registrant, duly authorized 

principal means a principal of the registrant who is authorized to sign Form TA-1 on 

its behalf. The official or principal of the registrant shall execute Form TA-1 by 

providing an electronic signature pursuant to Rule 301, Signatures, of Regulation S-T, 

17 CFR 232.301. The official or principal of the registrant must provide his or her 

full name in typed format in the signature box of the form and must manually sign a 

signature page or other document authenticating, acknowledging, or otherwise 

adopting his or her signature that appears in typed form within the electronic filing. 

The signature page or other such document shall be signed at or before the time the 

electronic filing is made, shall be retained by the transfer agent for a period of five 

years, and shall be made available to the Commission or its staff upon request.

By executing Form TA-1, the registrant agrees and consents that notice of any 

proceeding under the Act by the SEC involving the registrant may be given by 

sending such notice by registered or certified mail to the registrant, “Attention Officer 

in Charge of Transfer Agent Activities,” at its principal office for transfer agent 

activities as given in response to Question 3.c. of Form TA-1.

III. Notice

Under Sections 17, 17A(c) and 23(a) of the Act and the rules and regulations thereunder, 

the SEC is authorized to solicit from applicants for registration as a transfer agent and
from registered transfer agents the information required to be supplied by Form TA-1. 

Disclosure to the SEC of the information requested in Form TA-1 is a prerequisite to the 

processing of Form TA-1. The information will be used for the principal purpose of 

determining whether the SEC should permit an application for registration to become 

effective or should deny, accelerate or postpone registration of an applicant. The 

information supplied herein may also be used for all routine uses of the SEC. Information 

supplied on this Form will be included routinely in the public files of the SEC and will be 

available for inspection by any interested person.