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#XTOCC TRANSFTER MEDIA FILES REGISTRATION#
If a notice to withdraw from registration is filed with the Commission any time subsequent to the date of issuance of an order instituting proceedings pursuant to Section 17A(c)(3)(A) of the Securities Exchange Act of 1934, or if prior to the effective date of the notice of withdrawal the SEC institutes such a proceeding or a proceeding to impose terms and conditions upon such withdrawal, the notice of withdrawal shall not become effective except at such time and upon such terms and conditions as the SEC deems necessary or appropriate in the public interest, for the protection of investors, or in furtherance of the purposes of Section 17A. Notice to withdraw from registration filed by a transfer agent shall become effective on the 60th day after the filing thereof with the Commission or within such shorter period of time as the Commission may determine.
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All other transfer agents must contact their ARAs for appropriate instructions. If the SEC is the ARA, the transfer agent's notice of withdrawal from registration shall be filed on Form TA-W in accordance with the instructions contained thereon. Any transfer agent seeking to withdraw its registration as a transfer agent must file appropriate notice with its ARA. Withdrawal from Registration as a Transfer Agent The SEC may reject a filing that does not comply with applicable requirements. Every transfer agent that is registered on December 31 must file an annual report of its activities on Form TA-2 by the following March 31. Transfer Agent Annual Reporting Requirement
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Registration of a transfer agent becomes effective thirty days after receipt by the ARA of the application for registration, unless the filing does not comply with applicable requirements or the ARA takes affirmative action to accelerate, deny, or postpone registration in accordance with the provisions of Section 17A(c) of the Act. Securities and Exchange Commission.Īddresses for the ARAs can be found in the instructions to Form TA-1.
#XTOCC TRANSFTER MEDIA FILES CODE#
A national bank or a bank operating under the Code of Law for the District of Columbia, or a subsidiary of any such bank registers with the Comptroller of the Currency.
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A registrant may determine its ARA from the following: Each registrant must file Form TA-1 with its ARA. Before a transfer agent may perform any transfer agent function for a qualifying security, it must apply for registration on Form TA-1 with its ARA and its registration must become effective. A "qualifying security" is any security registered under Section 12 of the Securities Exchange Act of 1934. Pursuant to Section 17A(c)(1) of the Securities Exchange Act of 1934, it is unlawful for a transfer agent to perform any transfer agent function with respect to any qualifying security unless that transfer agent is registered with its appropriate regulatory authority ("ARA"). For more information please see release number 34-54864. The amendments will be effective January 11, 2007. Note: The Commission recently adopted rule amendments to mandate electronic filing of Forms TA-1, TA-2, and TA-W on the Commission's EDGAR database.