12 C.F.R. § 9.20 Transfer agents.
Title 12 - Banks and Banking
(a) The rules adopted by the Securities and Exchange Commission (SEC) pursuant to section 17A of the Securities Exchange Act of 1934 (15 U.S.C. 78q–1) prescribing procedures for registration of transfer agents for which the SEC is the appropriate regulatory agency (17 CFR 240.17Ac2–1) apply to the domestic activities of national bank transfer agents. References to the “Commission” are deemed to refer to the “OCC.” (b) The rules adopted by the SEC pursuant to section 17A of the Securities Exchange Act of 1934 prescribing operational and reporting requirements for transfer agents (17 CFR 240.17Ac2–2, and 240.17Ad–1 through 240.17Ad–17) apply to the domestic activities of national bank transfer agents. [61 FR 68554, Dec. 30, 1996, as amended at 68 FR 70131, Dec. 17, 2003]
Title 12: Banks and Banking
PART 9—FIDUCIARY ACTIVITIES OF NATIONAL BANKS
Regulations
§ 9.20 Transfer agents.
