# EDGAR Filing Document

**Accession Number:** 0001227021
**File Stem:** 0001227021-23-000002
**Filing Date:** 2023-3
**Character Count:** 11519
**Document Hash:** 9bb60846adbec03f2883549905268930
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001227021-23-000002.hdr.sgml**: 20230316

**ACCESSION NUMBER**: 0001227021-23-000002

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230313

**DATE AS OF CHANGE**: 20230316

**EFFECTIVENESS DATE**: 20230323

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BROWN BROTHERS HARRIMAN & CO
- **CENTRAL INDEX KEY:** 0001227021
- **IRS NUMBER:** 000000000

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-06072
- **FILM NUMBER:** 23738312

**BUSINESS ADDRESS:**
- **STREET 1:** 140 BROADWAY
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10005
- **BUSINESS PHONE:** 617.742.1818

**MAIL ADDRESS:**
- **STREET 1:** 50 POST OFFICE SQUARE
- **CITY:** BOSTON
- **STATE:** MA
- **ZIP:** 02110

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** BROWN BROTHERS HARRIMAN & CO

**FINS Number:** 269159

**Address of principal office where transfer agent activities are performed:** 50 Post Office Square, Boston, MA, 02110

**Is mailing address different from principal office address?:** No

**Telephone Number:** 617.772.1818

**Does registrant conduct business in other locations?:** Yes

**Other Business Location Address 1:** 185 Hudson Street, Suite 1150, Jersey City, NJ, 07311

**Other Business Location Address 2:** For non-qualifying securities, 30 Herbert Street, Dublin 2, L2

**Other Business Location Address 3:** For non-qualifying securities, 80, Route D'Esch, L-1470 Luxembourg, N4

**Other Business Location Address 4:** For non-qualifying securities, 13/F Man Yee Building, 68 Des Voeux Road, Hong Kong, K3

**Other Business Location Address 5:** For non-qualifying securities, Orange Office Park, ul. Klimeckiego 1, Krakow, R9

**Is registrant a self-transfer agent?:** No

**Does registrant engage a service company to perform any of its transfer agent functions?:** No

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Partnership

**Does any other person control the management or policies of the applicant?:** No

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name             | Relationship Start Date   | Title or Status   | Ownership Code   | Control Person   | Relationship End Date   |
|:---|:---|:---|:---|:---|:---|
| Thomas E. Berk          | 01/01/2005                | Partner           | A                | Yes              |  |
| Taylor S. Bodman        | 01/01/1999                | Partner           | A                | Yes              |  |
| Suzanne E. Brenner      | 01/01/2019                | Partner           | NA               | Yes              |  |
| Valentino Carlotti      | 01/01/2021                | Partner           | NA               | Yes              |  |
| G. Scott Clemons        | 01/01/2019                | Partner           | NA               | Yes              |  |
| Geoffrey M. Cook        | 01/01/2009                | Partner           | NA               | Yes              |  |
| Jean-Marc Crepin        | 01/01/2015                | Partner           | NA               | Yes              |  |
| Thomas Davis            | 01/01/2023                | Partner           | NA               | Yes              |  |
| Douglas A. Donahue, Jr. | 01/01/1990                | Partner           | NA               | Yes              |  |
| Dario Galindo           | 01/01/2003                | Partner           | NA               | Yes              |  |
| Kathryn C. George       | 01/01/1998                | Partner           | NA               | Yes              |  |
| Lorrie L. Gordon        | 01/01/2019                | Partner           | NA               | Yes              |  |
| Chris Gothard           | 01/01/2023                | Partner           | NA               | Yes              |  |
| Charles O. Izard        | 01/01/2004                | Partner           | NA               | Yes              |  |
| Michael R. Keller       | 01/01/2015                | Partner           | NA               | Yes              | 12/31/2022              |
| Michael R. Keller       | 01/01/2023                | Limited Partner   | NA               |  |  |
| Radford W. Klotz        | 01/01/1995                | Partner           | A                | Yes              |  |
| Susan C. Livingston     | 01/01/1998                | Partner           | NA               | Yes              |  |
| Hampton S. Lynch, Jr.   | 01/01/1984                | Partner           | NA               | Yes              |  |
| Michael J. McDonald     | 01/01/2019                | Partner           | NA               | Yes              |  |
| Jeffrey B. Meskin       | 01/01/2011                | Partner           | NA               | Yes              |  |
| Yukinori Nagahisa       | 01/01/2004                | Partner           | NA               | Yes              |  |
| Sean Pairceir           | 01/01/2010                | Partner           | NA               | Yes              |  |
| Jean-Pierre Paquin      | 01/01/2015                | Partner           | NA               | Yes              |  |
| Justin Reed             | 01/01/2023                | Partner           | NA               | Yes              |  |
| Christopher C. Remondi  | 01/01/2012                | Partner           | NA               | Yes              |  |
| William E. Rosensweig   | 01/01/2012                | Partner           | NA               | Yes              | 12/31/2022              |
| William E. Rosensweig   | 01/01/2023                | Limited Partner   | NA               |  |  |
| Jeffrey A. Schoenfeld   | 01/01/1996                | Partner           | A                | Yes              |  |
| Noriyasu Sonobe         | 01/01/2021                | Partner           | NA               | Yes              |  |
| Kevin W. Stone          | 01/01/2009                | Partner           | A                | Yes              |  |
| W. Carter Sullivan III  | 01/01/2000                | Partner           | NA               | Yes              |  |
| Andrew J. F. Tucker     | 01/01/1998                | Partner           | NA               | Yes              |  |
| William B. Tyree        | 01/01/2001                | Partner           | A                | Yes              |  |
| Maroa C. Velez          | 01/01/2008                | Partner           | NA               | Yes              |  |
| William J. Whelan, Jr.  | 01/01/2000                | Partner           | NA               | Yes              |  |
| Richard H. Witmer, Jr.  | 01/01/1998                | Partner           | NA               | Yes              |  |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** No

- **Found to have violated SRO rules or failed to supervise?:** Yes

  - **Details #1:**

    - **Entity Name:** The applicant

    - **Action Title:** Decision & Order of Offer of Settlement

    - **Action Date:** 09/10/2014

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** In September 2014, the SEC alleged that Brown Brothers Harriman & Co. failed to make certain Section 13 and Section 16 filings of its proprietary and affiliated equity holdings under the Securities Exchange Act of 1934 on a timely basis.

    - **Disposition:** Without admitting or denying the findings, the firm entered into a settlement agreement with the SEC and paid a civil penalty of $120,000.

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** No

- **Federal/State agency found a violation of investment-related regulations?:** No

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** No

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** Yes

  - **Details #1:**

    - **Entity Name:** The applicant

    - **Action Title:** NYSE Hearing Board Decision 06-200

    - **Action Date:** 11/13/2006

    - **Court/Body Name and Location:** New York Stock Exchange LLC, New York, NY

    - **Action Description:** The enforcement staff's allegations included failure to establish and maintain adequate policies and procedures relating to the identification of, and association with, individuals subject to statutory disqualification, and the prompt reporting to the NYSE the existence of certain events required to be reported by NYSE rules.

    - **Disposition:** Without admitting or denying guilt, BBH consented to a censure and fine in connection with the allegations. In addition, BBH implemented enhanced policies and procedures with respect to its hiring process and employee reporting requirements.

  - **Details #2:**

    - **Entity Name:** The applicant

    - **Action Title:** 2013035821401

    - **Action Date:** 02/04/2014

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority (FINRA), New York, NY

    - **Action Description:** FINRA alleged that the firm failed to establish and implement an adequate AML program as required by NASD Rule 3011(a) and FINRA Rules 3310(a) and 2010; to adequately supervise activity in foreign financial institution accounts as required by NASD Rule 3011(b) and FINRA Rules 3310(b) and 2010; to conduct adequate AML testing as required by NASD Rule 3011(c) and FINRA Rules 3310(c) and 2010; to conduct adequate AML training as required by NASD Rule 3011(e) and FINRA Rules 3310(e) and 2010; and, to establish, maintain and enforce a supervisory system to achieve compliance with Section 5 of the Securities Act of 1933, as required by NASD Rule 3010 and FINRA Rule 2010.

    - **Disposition:** The Firm resolved the matter without admitting or denying the findings or liability and paid a fine of $8 Million. The Firm filed a Corrective Action Statement with the AWC, noting the various steps BBH had taken, or was taking, to address FINRA's charges

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** No

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** Ursula Costigan

**Title:** Vice President

**Date:** 03/13/2023

**Phone Number:** (617) 772-6161