SEC Form TA-1



A form used to apply for or amend registration as a transfer agent. Depending on the type of organization applying, SEC form TA-1 is submitted to one of four regulatory agencies: Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation (FDIC) or the Securities and Exchange Commission (SEC).


The role of a transfer agent is to keep track of the people and organizations that own its stocks and bonds. Transfer agents are most often banks or trusts, but sometimes companies can serve as their own agents. The provisions that regulate transfer agents are covered under Section 17A of the Securities Exchange Act of 1934.

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