17 C.F.R. § 240.17Ac2-2 Annual reporting requirement for registered transfer agents.
Title 17 - Commodity and Securities Exchanges
(a) Every transfer agent registered on December 31 must file a report covering the reporting period on Form TA–2 (§249b.102 of this chapter) by March 31 following the end of the reporting period. Form TA–2 must be completed in accordance with the instructions contained in the Form. (1) A registered transfer agent that received fewer than 1,000 items for transfer in the reporting period and that did not maintain master securityholder files for more than 1,000 individual securityholder accounts as of December 31 of the reporting period must complete Questions 1 through 5, 11, and the signature section of Form TA–2. (2) A named transfer agent that engaged a service company to perform all of its transfer agent functions during the reporting period must complete Questions 1 through 3 and the signature section of Form TA–2. (3) A named transfer agent that engaged a service company to perform some but not all of its transfer agent functions during the reporting period must complete all of Form TA–2 but should enter zero (0) for those questions that relate to transfer agent functions performed by the service company on behalf of the named transfer agent. (b) For purposes of this section, the term reporting period shall mean the calendar year ending December 31 for which Form TA–2 is being filed. The term named transfer agent shall have the same meaning as defined in §240.17Ad–9(j). The term service company shall have the same meaning as defined in §240.17Ad–9(k). (c) As a transition measure, transfer agents' next required Form TA–2 filing will be on March 31, 2001, which will cover their activities during calendar Year 2000. This will eliminate the filing for the period ending June 30, 2000, which would have been due on August 31, 2000. [65 FR 36610, June 9, 2000]
Title 17: Commodity and Securities Exchanges
PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
§ 240.17Ac2-2 Annual reporting requirement for registered transfer agents.
