SEC Form TA-2



A form completed by transfer agents when submitting its annual report of transfer activities. Information collected on Form TA-2 is used by regulatory bodies for the oversight of transfer agents. Depending on the type of organization, SEC Form TA-2 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).


Transfer agents perform transactions between companies that issue securities and their holders to include recording changes of ownership, cancelling and issuing certificates and distributing dividends

The provisions that regulate transfer agents are covered under section 17A of the Securities Exchange Act of 1934. Because there is no self-regulatory organization (SRO) that oversees transfer agents the SEC has created rules for transfer agents and periodically conducts transfer agents inspections.

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