United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2006_register executive 2010-09-22 article Part VI Rules and Regulations D09002ee1c80dfc25 D09002ee1c80dffa2 United States Securities and Exchange Commission originator org United States Government Agency or Subagency 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. 71 FR 74698 https://www.govinfo.gov/app/details/FR-2006-12-12/06-9600 06-9600 fr12de06-18 RIN 3235-AJ68 8011-01-P Release No. 34-54864 File No. S7-14-06 https://www.govinfo.gov/app/details/FR-2006-12-12/06-9600 https://www.govinfo.gov/content/pkg/FR-2006-12-12/html/06-9600.htm https://www.govinfo.gov/content/pkg/FR-2006-12-12/pdf/06-9600.pdf Reporting and Recordkeeping Requirements Securities 49 p. 74698 74746 71 FR 74698 Title 17 Part 232 17 CFR Part 232 Title 17 Part 239 17 CFR Part 239 Title 17 Part 240 17 CFR Part 240 Title 17 Part 249 17 CFR Part 249 RIN 3235-AJ68 Electronic Filing of Transfer Agent Forms; Federal Register Vol. 71, Issue RULE 06-9600 VI SECURITIES AND EXCHANGE COMMISSION 2007-01-11 Release No. 34-54864 File No. S7-14-06 8011-01-P 06-9600 Final rule.

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.

Effective Date: January 11, 2007. Jerry Carpenter, Assistant Director, or Catherine Moore, Special Counsel, Office of Clearance and Settlement, Division of Market Regulation, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-6628 or at (202) 551-5710. For assistance with technical questions about EDGAR, call the EDGAR Filer Support Office at (202) 551-8900. Reporting and Recordkeeping Requirements Securities Securities: Transfer agent forms; electronic filing, http://www.dtc.org http://www.sec.gov http://www.sec.gov/edgar.shtml http://www.sec.gov/info/edgar/edmanuals95_d.htm www.sec.gov Vol. 71, no. 238 Office of the Federal Register, National Archives and Records Administration 2006-12-12 continuing daily deposited born digital 310 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2006-12-12 P0b002ee18094b92b 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr12de06 https://www.govinfo.gov/app/details/FR-2006-12-12 https://www.govinfo.gov/content/pkg/FR-2006-12-12/pdf/FR-2006-12-12.pdf https://www.govinfo.gov/content/pkg/FR-2006-12-12/xml/FR-2006-12-12.xml fdlp 74451 74754 DGPO 2010-09-22 2024-06-05 FR-2006-12-12 machine generated eng FR FR-2006-12-12 71 238