10 Jan 2025
📄SEC Compliance Requirements for Transfer Agents
Submission for OMB Review; Comment Request; Extension: Rule 17Ac2-2 and Form TA-2
Agencies
- Securities and Exchange Commission
Business Impact
$$ - Med
The content outlines compliance and regulatory requirements for registered transfer agents under Rule 17Ac2-2 and Form TA-2, mandating annual reporting to the SEC. This imposes time and resource considerations for businesses operating as transfer agents, affecting their operational planning and reporting obligations.