Form TA-1 - current version (last update April 2021) (PDF)

Form TA-1 Instructions - current version (last update December 2016) (PDF)

Historical Versions

Description: Form TA-1, an interagency form, is used by entities wishing to act as a transfer agent to register before performing transfer agent functions and to amend registration information as necessary. The information collected includes the company name, all business addresses, and information about the registrant's proposed activities as a transfer agent.

Agency OMB Numbers:

Purpose: The banking agencies use the information to act upon registration applications and to aid in performing supervisory duties. The banking agencies forward copies of completed registration forms to the Securities and Exchange Commission, which maintains registration data to aid in its statutory mandate to develop rules and standards applicable to all registered transfer agents.

Background: Section 17A(c) of the Securities Exchange Act of 1934, as amended in 1975, requires all transfer agents for securities registered under section 12 of the act to register "by filing with the appropriate regulatory agency...an application for registration in such form and containing such information and documents...as such appropriate regulatory agency may prescribe as necessary or appropriate in furtherance of the purposes of this section." The interagency reporting form was developed and implemented in 1975.

Respondent Panel: Any entity performing transfer agent functions for a security is required to register if the security is registered on a national securities exchange and if the issuer has total assets of $10 million and a class of equity security held of record by either 2,000 persons, or 500 persons who are not accredited investors (see the Form TA-1 Instructions for more information).

Frequency: Event-generated

Public Release: The registrations are public filings and are not considered confidential.

Historical Versions:
Documents are in Portable Document Format (PDF).