Form TA-1 Transfer Agent Registration and Amendment Form

What Is Form TA-1?

This is a legal form that was released by the Federal Financial Institutions Examination Council on April 1, 2021 and used country-wide. As of today, no separate filing guidelines for the form are provided by the issuing department.

FAQ

Q: What is Form TA-1?
A: Form TA-1 is the Transfer Agent Registration and Amendment Form.

Q: Who needs to file Form TA-1?
A: Transfer agents need to file Form TA-1.

Q: What is a transfer agent?
A: A transfer agent is a financial intermediary that maintains records of ownership and transactions of securities.

Q: What is the purpose of Form TA-1?
A: The purpose of Form TA-1 is to register or amend the registration of transfer agents with the appropriate regulatory authority.

Q: What information is required in Form TA-1?
A: Form TA-1 requires information such as the name, address, and contact information of the transfer agent, as well as details about its business activities.

Q: How often should Form TA-1 be filed?
A: Form TA-1 needs to be filed initially as part of the registration process, and then amended annually to reflect any changes in the transfer agent's information.

Q: Are there any fees associated with filing Form TA-1?
A: Yes, there are fees associated with filing Form TA-1. The specific fees may vary depending on the regulatory authority.

Q: Is there a deadline for filing Form TA-1?
A: Yes, there may be a deadline for filing Form TA-1. Transfer agents should refer to the instructions provided by the regulatory authority for the specific deadline.

Q: What happens after filing Form TA-1?
A: After filing Form TA-1, the regulatory authority will review the information provided and determine if the transfer agent meets the requirements for registration.