The full text on this page is automatically extracted from the file linked above and may contain errors and inconsistencies.
F e de ral R e s e r v e Ba n k
N ew
Yo rk , N.Y.
of
N ew Yor k
10045
h
f a n
AREA CODE 212-791-5000
May 3, 1982
AMENDMENTS TO REGULATIONS H AND Y
Transfer Agent Activity
To State Member Banks in the Second Federal Reserve District
that Act as Transfer Agents under the Securities and Exchange
Act of 1934:
In an effort to reduce the reporting burden on State
member banks that act as transfer agents,
the Board of
Governors of the Federal Reserve System has amended Regulation
H, "Membership of State Banking Institutions in the Federal
Reserve System," and Regulation Y, "Bank Holding Companies and
Change in Bank Control," effective April 5, 1982, to:
(1) Revise
the
transfer
agent
Registration
Statement (Form TA-1) so as to substantially
reduce the amount of information that must be
filed by member banks that perform transfer
agent activities, and
(2) Extend the period within which changes in the
statement must be filed from 21
to
60
calendar days.
Copies of the revised Form TA-1 will be sent to you as
soon as they become available.
In the meantime, the form
included in the enclosed Federal Register notice may be
reproduced for purposes of registration or for amending a
previous registration.
The old Form TA-1 should no longer be
used.
Questions regarding this matter may be directed to our
Consumer Affairs and Bank Regulations Department (Tel. No.
212-791-5914).
George R. Juncker, Manager
Consumer Affairs and
Bank Regulations Department
Board of Governors of the Federal Reserve System
MEMBERSHIP OF STATE BANKING INSTITUTIONS IN THE FEDERAL RESERVE SYSTEM
BANK HOLDING COMPANIES AND CHANGE IN BANK CONTROL
AM ENDMENTS TO REGULATIONS H AN D Y
( E ffe c tiv e A p r i l 5 , 1 9 8 2 )
FOR FURTHER INFORMATION CONTACT:
FEDERAL RESERVE SYSTEM
12 CFR Parts 208 and 225
[Regulations H and Y; Docket No. R-0390]
Membership of State Banking
Institutions in the Federal Reserve
System; Bank Holding Companies and
Change in Bank Control; Amendment
to Requirements for Amending
Transfer Agent Registration
Information
AGENCY: B o a r d o f G o v e r n o r s o f th e
F ed era l R e serv e S y stem .
ACTION: F in a l ru le.
summary:
T he B oard o f G overn ors o f
th e F e d e r a l R e s e r v e S y ste m h a s a d o p te d
a r e v i s e d F o rm T A - 1 r e g is tr a t io n
s t a t e m e n t fo r t r a n s f e r a g e n t s t h a t w o u l d
s u b s t a n t i a l ly r e d u c e t h e in fo r m a t io n
r e q u ir e d to b e f ile d . T h e B o a r d h a s
s i m u l t a n e o u s l y a m e n d e d it s R e g u la t io n s
H (1 2 C F R P a rt 2 0 8 , M e m b e r s h ip o f S t a t e
b a n k in g in s t it u t io n s in t h e F e d e r a l
R e s e r v e S y s t e m ) a n d Y (1 2 C F R P a r t 2 25,
B a n k h o ld in g c o m p a n ie s a n d c h a n g e in
b a n k c o n t r o l) to r e q u ir e t r a n s f e r a g e n t s
to a m e n d w it h in s i x t y c a le n d a r d a y s
in fo r m a t io n c o n t a in e d in t h e r e v i s e d
F orm T A -1 w h ic h h a s b e c o m e
i n a c c u r a t e , m is le a d in g o r in c o m p le t e fo r
a n y r e a s o n P r e v io u s ly , a m e n d m e n t s
w e r e r e q u ir e d w it h in t w e n t y - o n e
c a l e n d a r d a y s i f in fo r m a t io n c o n t a i n e d
in I t e m s 1 - 6 o f th e p r e s e n t F o rm T A - 1
b e c a m e in a c c u r a t e , m is le a d in g or
in c o m p le t e . T h e s e r e g u la t o r y
a m e n d m e n t s c o m p le t e th e p r o c e s s
b e g u n b y th e B o a r d , th e O f f ic e o f th e
C o m p tr o lle r o f th e C u r r e n c y , th e F e d e r a l
D e p o s it I n s u r a n c e C o r p o r a tio n a n d th e
S e c u r it ie s a n d E x c h a n g e C o m m is s io n to
s u b s t a n t i a l ly r e v i s e F o rm T A - 1 a n d
r e d u c e th e in fo r m a t io n r e q u ir e d b y th a t
F o rm .
EFFECTIVE DATE: A p r il 5, 1982.
D o n a ld R. V in n e d g e , M a n a g e r , T r u st
A c t i v i t i e s P r o g r a m (20 2 ) 4 5 2 -2 7 1 7 , or
L arry A . C la rk , S e n io r T r u s t A n a l y s t
(20 2 ) 4 5 2 -2 5 0 1 , D i v i s i o n o f B a n k in g
S u p e r v is io n a n d R e g u la t io n , B o a r d o f
G o v e r n o r s o f th e F e d e r a l R e s e r v e
S y s t e m , W a s h in g t o n , D .C . 2 0 5 5 1 .
SUPPLEMENTARY INFORMATION: T h e
B o a r d h a s a d o p t e d a r e v i s e d F o rm T A 1, w h ic h s u b s t a n t i a l ly r e d u c e s th e
a m o u n t o f in fo r m a t io n p r e s e n t ly
r e q u ir e d o f t r a n s f e r a g e n t s , a n d is
s i m u l t a n e o u s l y a m e n d in g R e g u la t io n H
(12 C F R 2 0 8 .8 (f)(2 )) a n d R e g u la t io n Y (12
C F R 2 2 5 .5 (c )(2 )). T h e r e v i s e d F o rm T A - 1
c o n t a in s o n ly s u c h in fo r m a t io n a s th e
f e d e r a l b a n k r e g u la t o r y a g e n c i e s a n d th e
S e c u r it ie s a n d E x c h a n g e C o m m is s io n
b e l i e v e m u s t b e k e p t c u r r e n t. W h ile th e
a m e n d e d r e g u la t io n s c o n t in u e to r e q u ir e
a m e n d m e n t o f F o rm T A - 1 in th e e v e n t
th a t a n y in fo r m a t io n c o n t a in e d th e r e in
b e c o m e s in a c c u r a t e , m is le a d in g or
in c o m p le t e , t h e in fo r m a t io n r e q u e s t e d
b y t h e r e v i s e d F o rm T A - 1 i s l e s s th a n
t h a t r e q u ir e d b y I te m s 1 - 6 o f th e p r e s e n t
F o rm . In a d d itio n , th e p e r io d w it h in
w h i c h a n y a m e n d m e n t m u s t b e Filed h a s
b e e n e x t e n d e d fr o m t w e n t y - o n e to s i x t y
d a y s.
P r in te d c o p i e s o f th e r e v i s e d F o rm
T A - 1 w i l l b e m a d e a v a i l a b l e in th e n e a r
fu tu r e . In th e m e a n tim e , th e a t t a c h e d
c o p y m a y b e p h o t o c o p ie d a n d u t iliz e d
fo r p u r p o s e s o f r e g is tr a t io n , a n d
a m e n d m e n t to r e g is tr a t io n , b y t r a n s f e r
a g e n t s s u b j e c t to th e B o a r d ’s
j u r is d ic t io n .
B e c a u s e th is a c t io n f a c i l it a t e s th e
r e d u c t io n o f a r e p o r tin g b u r d e n , th e
B o a r d fo r g o o d c a u s e F in d s t h a t th e
n o t i c e a n d p u b lic p r o c e d u r e p r o v is io n s
o f 5 U .S .C . 5 5 3 a r e u n n e c e s s a r y a n d t h a t
im m e d ia t e im p le m e n t a t io n i s in th e
p u b lic in te r e s t .
P u r s u a n t to s e c t i o n 1 7 A o f th e
S e c u r it ie s E x c h a n g e A c t o f 1 9 3 4 (15
U .S .C . 7 8 q - l ) a n d s e c t i o n s 9 a n d 11 o f
th e F e d e r a l R e s e r v e A c t (12 U .S .C . 321,
2 48) th e B o a r d h e r e b y a d o p t s th e
f o llo w in g a m e n d m e n t s to R e g u la t io n H
(12 C F R P a rt 208) a n d R e g u la t io n Y (12
C F R P a rt 225).
PART 208—MEMBERSHIP OF STATE
BANKING INSTITUTIONS IN THE
FEDERAL RESERVE SYSTEM
1 .1 2 C F R 2 0 8 .8 (f)(2 ) is r e v i s e d to rea d :
§ 208.8
*
[Am ended]
★
*
*
*
(f) * * *
(2) If th e in fo r m a tio n c o n t a in e d in
F orm T A - 1 b e c o m e s in a c c u r a t e ,
m is le a d in g or i n c o m p le t e for a n y r e a s o n ,
th e b a n k or its s u b s id ia r y s h a ll, w ith in
s ix t y c a le n d a r d a y s th e r e a fte r , file a n
a m e n d m e n t to F orm T A - 1 c o r r e c tin g th e
in a c c u r a t e , m is le a d in g or in c o m p le t e
in fo r m a tio n .
*
*
*
*
*
PART 225—BANK HOLDING
COMPANIES AND CHANGE IN BANK
CONTROL
2 .1 2 C FR 2 2 5 .5 (c )(2 ) is r e v is e d to read :
§225.5
*
*
[Am ended]
*
*
*
(c) * * *
(2) If th e in fo r m a tio n c o n t a in e d in
F orm T A - 1 b e c o m e s in a c c u r a t e ,
m is le a d in g o r in c o m p le t e for a n y r e a s o n ,
th e b a n k h o ld in g c o m p a n y or its
n o n b a n k s u b s id ia r y s h a ll, w it h in s ix t y
c a le n d a r d a y s th e r e a fte r , file a n
a m e n d m e n t to F orm T A - 1 c o r r e c tin g th e
in a c c u r a t e , m is le a d in g or in c o m p le t e
in fo r m a tio n .
*
*
*
*
*
By order of the Board of Governors,
effective March 26, 1982.
W illiam W . W iles,
S e c r e t a r y o f th e B o a rd .
PRINTED IN NEW YORK, FROM FE D ER AL R E G IST E R , VOL. 47, NO. 66
A pproval E x p ir es
UNIFORM FORM FOR REGISTRATION AS A TRANSFER
AGENT AND FOR AMENDMENT TO REGISTRATION
PURSUANT TO SECTION 17A OF THE SECURITIES
EXCHANGE ACT OF 1934
FORM TA-1
Official Use
File
Reg/Number
r
'T
GENERAL: Form TA-1 is to be used to register or amend registration as a transfer
agent with the Comptroller of the Currency, the Board of Governors of the Federal
Reserve System, the Federal Deposit Insurance Corporation or the Securities and
Exchange Commission pursuant to Section 17A of the Securities Exchange Act of 1934.
Read all instructions before completing the Form. Please print or type all responses.
1.
Appropriate regulatory agency (check one box only) (See General Instruction D.):
Comptroller of the Currency
Board of Governors of the Federal Reserve System
Federal Deposit Insurance Corporation
Securities and Exchange Commission
2.
Filing status of this Form (check one box only):
Registration
3.
[ ]
[ ]
[ ]
["” ]
a.
[ ]
Amendment to Registration
[ ]
Full name of registrant:
1
[
(Name)
l
1
(Name, Continued)
1
[
(Previous name, if being amended)
l
(Previous Name, Continued)
b*
c.
Financial Industry Number Standard (FINS) number
(See Special Instruction A.I.):
]
Address of principal office where transfer agent activities are, or will be,
performed (See Special Instruction A.2.):
[
" " ]
~
(Number and Street!)
i
]
(City)
d.
[
Telephone Number:
C i
(State)
[
i
(Zip Code)
[
]
(Area Code)
[
]
(Number)
2
1 1 /8 4
e.
Mailing address; if different from response to Question 3.b.:
1
(Number and Street)
[
4e
~
(City)
1
Q
(State)
l_________)
(Zip Code)
Does registrant conduct, or will it conduct, transfer agent activities at any
location other than that given in Question 3.c« above?
yes[ ] no[ ]
If "yes," provide address(es):
[
[ ] Delete
1
(Number and Street)
]
[
[ 1
(State)
(City)
l
)
(Zip Code)
l
[ ] Delete
1
(Number and Street
[
]
(City)
1 1
(State)
I ....
]
(Zip Code)
5.
Does registrant act, or will it act, as a transfer agent solely for its own securities
and/or securities of an affiliate(s)? (See Special Instruction A.5.)
yes [ ] n o H
6.
Has registrant, as a named transfer agent, engaged, or will it engage, a service
company to perform any transfer agent functions? (See Special Instruction A.6)
yes M
no[ J
If "yes," provide the names and addresses of all service companies engaged, or that
will be engaged, by the registrant to perform its transfer functions:
(Name)
I_____________________________________________ 1
(Number and Street)
r
i
(City)
o
(State)
[
[ ] Delete
)
(Zip Code)
(Name)
r
’]
(Number and Street)
i
"i
(City)
Q
(State)
[
(Zip Code)
3
( ] Delete
Has registrant been engaged, or will it be engaged, as a service company by a named
transfer agent to perform transfer agent functions? (See Special Instruction A.6.)
yes [~] no[J
If "yes," provide the name(s) and the FINS number(s) of the named transfer agent(s)
for which the registrant has been engaged, or will be engaged, as a service coranany
to perform transfer agent functions:
Delete
1
1
]
( 1
[
(FINS no.)
(Name)
1
1
________
(Name)
l
l
]
(FINS no.)
)
t
i
n
(FINS no.)
]
l
J
(FINS no.)
(Name)
l
(Name)
n
Delete
1 ]
]
(Name)
[
l
]
(FINS no.)
1 J
EXECUTION: The registrant submitting this Form, and the person executing it hereby
represent that all the information contained herein is true, correct and complete.
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL
VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)
______ _
______
Official responsible for Form:
(Manual signature)
(First name, middle name, last name)
Title
MO Day YR
IN S T R U C T I O N S F O R U S E O F F O R M
T A -1
U N IF O R M F O R M F O R R E G IS T R A T IO N
A N D AM ENDM ENT TO
R E G IS T R A T IO N A S A T R A N S F E R
A G E N T P U R S U A N T T O S E C T IO N 17A
O F T H E S E C U R IT IE S E X C H A N G E A C T
O F 1934
A T T E N T IO N : C e r ta in s t a t u t e s
a p p lic a b le to tr a n s fe r a g e n t s a re
r e f e r e n c e d o r s u m m a r iz e d b e lo w .
T r a n s fe r a g e n t s a r e u rg ed to r e v ie w a ll
a p p lic a b le p r o v is io n s o f th e F e d e r a l
s e c u r it ie s l a w s .
I.G en eral In stru ction s fo r Filing a n d
A m en din g Form TA-1.
A . Term s a n d A b b rev ia tio n s. T h e
f o llo w in g te r m s a n d a b b r e v ia t io n s a re
u s e d th r o u g h o u t t h e s e in s tr u c tio n s :
1 . " A c t ” r e f e r s to th e S e c u r it ie s
E x c h a n g e A c t o f 1934.
2 . " A R A " r e fe r s to th e a p p r o p r ia te
r e g u la to r y a g e n c y , a s d e f in e d in S e c t io n
3 (a )(3 4 )(B ) o f th e A c t . S ee G e n e r a l
In s tr u c tio n D . b e l o w .
3. " F e d e r a l B a n k R e g u la to r s" or
“ F B R s” r e f e r s to th e O f fic e o f th e
C o m p tr o lle r o f th e C u r r e n c y , th e B o a r d
o f G o v e r n o r s o f th e F e d e r a l R e s e r v e
S y s t e m , a n d th e F e d e r a l D e p o s it
I n s u r a n c e C o r p o r a tio n .
4. " F orm T A - 1 ” in c lu d e s th e F orm a n d
a n y a t t a c h m e n t s to th a t F orm , w h e t h e r
f ile d a s a r e g is tr a t io n or a n a m e n d m e n t
to r e g is tr a tio n .
5. “R e g is tr a n t ” r e fe r s to th e e n t ity o n
w h o s e b e h a l f F o rm T A -1 is file d .
6 . " S E C ” r e fe r s to th e S e c u r it ie s a n d
E x c h a n g e C o m m is s io n .
7. " T r a n s fe r a g e n t ” is d e f in e d in
S e c t io n 3 (a )(2 5 ) o f th e A c t a s a n y p e r s o n
w h o e n g a g e s o n b e h a l f o f a n is s u e r o f
s e c u r it ie s o r o n b e h a l f o f i t s e l f a s a n
is s u e r in a t l e a s t o n e o f th e f u n c t io n s
e n u m e r a te d th e r e in .
B. W ho M u st File. U n d e r S e c t io n
1 7 A ( c ) ( l) o f th e A c t , it is u n la w fu l for
a n y t r a n s fe r a g e n t to p e r fo r m a n y
t r a n s f e r a g e n t fu n c t io n w it h r e s p e c t to
a n y q u a lify in g s e c u r ity u n l e s s th a t
tr a n s fe r a g e n t is r e g is te r e d w it h its
A R A . A “ q u a lify in g s e c u r ity " i s a n y
s e c u r ity r e g is te r e d u n d e r S e c t io n 12 o f
th e A c t . T h u s , q u a lify in g s e c u r it ie s
in c lu d e s e c u r it ie s r e g is te r e d o n a
n a t io n a l s e c u r it ie s e x c h a n g e p u r s u a n t to
S e c t i o n 12 (b ) o f th e A c t a s w e l l a s
e q u ity s e c u r it ie s r e g is te r e d p u r s u a n t to
S e c t i o n 12 (g )( 1 ) o f th e A c t fo r is s u e r s
th a t h a v e to ta l a s s e t s e x c e e d i n g
$ 1 , 000,000 a n d a c l a s s o f e q u ity
s e c u r it ie s (o th e r th a n e x e m p t e d
s e c u r it ie s ) h e ld o f r e c o r d b y 5 0 0 o r m o r e
p erson s.
In a d d itio n , q u a lify in g s e c u r it ie s
in c lu d e e q u ity s e c u r it ie s o f r e g is te r e d
in v e s t m e n t c o m p a n ie s a n d c e r t a in
in s u r a n c e c o m p a n ie s th a t w o u ld b e
r e q u ir e d to b e r e g is te r e d u n d e r S e c t io n
12 (g) e x c e p t fo r th e e x e m p t io n s p r o v id e d
b y s u b s e c t io n s (g )( 2 )(B ) a n d (g )( 2 )(G ),
r e s p e c t iv e ly , o f S e c t io n 12 , i.e., w h e n th e
a s s e t a n d s h a r e h o ld e r c r ite r ia o f S e c t io n
12 (g )( 1 )(B ) a r e m e t.
C. W hen to File. B e fo r e a tr a n s fe r
a g e n t m a y p e r fo r m a n y t r a n s fe r a g e n t
fu n c t io n for a q u a lify in g s e c u r ity , it m u s t
a p p ly fo r r e g is tr a tio n o n F o rm T A -1
w it h its A R A a n d its r e g is tr a t io n m u s t
b e c o m e e f f e c t i v e . I n s tr u c tio n s fo r
a m e n d in g F o rm T A -1 a p p e a r a t G e n e r a l
I n s tr u c tio n F., b e l o w .
D. H o w a n d W h ere to File; N u m b er o f
C opies. E a c h r e g is tr a n t m u s t f ile F orm
T A -1 w it h its A R A a n d if a r e g is tr a n t ’s
A R A is a FBR, a c o p y o f th e r e g is tr a t io n
or a n y a m e n d m e n t a l s o m u s t b e f ile d
w it h th e S E C . H o w e v e r , th e F B R s w ill
s e n d th e s u b m itt e d f ilin g s to th e S E C o n
b e h a l f o f th e ir r e g is tr a n t s to s a t i s f y th a t
r e q u ir e m e n t. A r e g is tr a n t m a y d e t e r m in e
th e n a m e a n d a d d r e s s o f its A R A from
th e f o llo w in g :
1 . A n a t io n a l b a n k o r a b a n k o p e r a t in g
u n d e r th e C o d e o f L a w fo r th e D is t r ic t o f
C o lu m b ia , or a s u b s id ia r y o f a n y s u c h
b a n k r e g is te r s w it h th e C o m p tro ller o f
th e Currency, at:
O f fic e o f th e C o m p tr o lle r o f th e
C urrency
A d m in is tr a t o r o f N a t io n a l B a n k s
T r u st E x a m in a t io n s D iv is io n
W a s h in g t o n , D .C . 2 0 2 1 9
2 . A s t a t e m e m b e r b a n k o f th e F e d e r a l
R e s e r v e S y s t e m , a s u b s id ia r y th e r e o f, a
b a n k h o ld in g c o m p a n y , or a s u b s id ia r y
o f a b a n k h o ld in g c o m p a n y w h ic h i s a
b a n k o t h e r th a n a b a n k s p e c i f i e d in
c l a u s e (1) or (3) o f th is s e c t i o n r e g is te r s
w it h th e B o a rd o f G overn o rs o f th e
F ed era l R e se r v e S yste m , at:
B o a r d o f G o v e r n o r s o f th e F e d e r a l
R eserv e S y stem
T r u s t A c t i v i t i e s P ro g ra m
W a s h in g t o n , D .C . 2 0551
3. A b a n k in s u r e d b y th e F e d e r a l
D e p o s it I n s u r a n c e C o r p o r a tio n (o th e r
th a n a b a n k w h ic h is a m e m b e r o f th e
F e d e r a l R e s e r v e S y s t e m ) o r a s u b s id ia r y
t h e r e o f r e g is te r s w it h th e F ed era l
D e p o sit Insurance C orporation, at:
F e d e r a l D e p o s it I n s u r a n c e C o r p o r a tio n
T r u st S e c t io n
W a s h in g t o n , D .C . 2 0 4 2 9
4. A ll o th e r tr a n s fe r a g e n t s r e g is te r
w it h t h e S ecu rities a n d E xchan ge
C om m ission, at:
S e c u r it ie s a n d E x c h a n g e C o m m is s io n
D iv is io n o f M a r k e t R e g u la t io n
W a s h in g t o n , D .C . 2 0 5 4 9
If th e r e g is tr a n t ’s A R A i s a FBR, th e
r e g is tr a n t m u s t f ile th e o r ig in a l a n d fo u r
c o p i e s o f a n y r e g is tr a t io n o r a m e n d m e n t
w it h th e a p p r o p r ia te FB R a n d n e e d n o t
f ile d ir e c t ly w it h th e S E C . If th e
r e g is tr a n t ’s A R A i s th e S E C , th e
r e g is tr a n t m u s t f ile w it h th e S E C th e
o r ig in a l a n d th r e e c o p i e s o f a n y
r e g is tr a t io n or a m e n d m e n t . T h e o r ig in a l
c o p y o f F orm T A - 1 m u s t b e m a n u a lly
s ig n e d a n d a n y a d d it io n a l c o p i e s m a y
b e p h o t o c o p ie s o f th e s ig n e d o r ig in a l
c o p y . A ll c o p i e s m u s t b e le g ib le , o n g o o d
q u a lity 8 V2 x 11 in c h w h it e p a p e r . T h e
r e g is tr a n t m u s t k e e p a n e x a c t c o p y o f
a n y f ilin g fo r its r e c o r d s .
E. E ffec tive D ates. R e g is tr a t io n o f a
tr a n s fe r a g e n t b e c o m e s e f f e c t i v e th ir ty
d a y s a f te r r e c e ip t b y th e A R A o f th e
a p p lic a t io n fo r r e g is tr a t io n , u n l e s s th e
filin g d o e s n o t c o m p ly w it h a p p lic a b le
r e q u ir e m e n ts o r th e A R A t a k e s
a f fir m a t iv e a c t io n to a c c e le r a t e , d e n y o r
p o s t p o n e r e g is tr a t io n in a c c o r d a n c e
w it h th e p r o v is io n s o f S e c t io n 1 7 A (c ) o f
th e A c t.
F. A m en d in g R eg istra tio n . E a c h
r e g is tr a n t m u s t a m e n d F o rm T A -1
w it h in s i x t y c a le n d a r d a y s f o llo w in g th e
d a t e o n w h ic h in fo r m a t io n r e p o r te d
t h e r e in b e c o m e s in a c c u r a t e , in c o m p le t e
o r m is le a d in g .
II. S p e c ia l In stru ction s fo r Filing a n d
A m en d in g Form TA-1.
A.
R eg istra tio n . R e s p o n d in fu ll to a ll
Q u e s t io n s . If th e a p p r o p r ia te r e s p o n s e to
a Q u e s t io n is “n o n e ,” o r i f a n y Q u e s t io n
is “n o t a p p l i c a b le ,” r e s p o n d w it h " n o n e ”
o r “N / A ” r e s p e c t iv e ly .
1 . In a n s w e r in g Q u e s t io n s 3 .b . a n d 7,
th e term “F in a n c ia l I n d u s tr y N u m b e r
S ta n d a r d " (" F IN S ” n u m b e r ) m e a n s a s i x
d ig it n u m b e r a s s i g n e d b y T h e
D e p o s it o r y T r u s t C o m p a n y ("D T C " ) to
p e r s o n s e n g a g e d in s e c u r it ie s
t r a n s a c t io n s . R e g is tr a n t s th a t d o n o t
h a v e a F IN S n u m b e r m a y o b t a in o n e
fr e e o f c h a r g e b y w r itin g to D T C a t 20
E x c h a n g e P la c e , 4 5 th F lo o r , N e w Y o rk ,
N .Y . 1 0 004, s t a t in g it s n a m e , a d d r e s s ,
a n d ty p e o f b u s i n e s s ( s u c h a s “b a n k ” o r
" n o n -b a n k tr a n s f e r a g e n t ” ).
2 . S t a t e in Q u e s t io n 3 .c . th e fu ll
a d d r e s s o f th e r e g is tr a n t ’s p r in c ip a l
o f f ic e w h e r e t r a n s f e r a g e n t a c t i v i t i e s
a r e , or w i l l b e , p e r fo r m e d : a p o s t o f f ic e
b o x n u m b e r i s n o t a c c e p t a b le . S t a t e in
r e s p o n s e to Q u e s t io n 3 .e . th e r e g is tr a n t ’s
m a ilin g a d d r e s s if d iff e r e n t fro m th e
r e s p o n s e to Q u e s t io n 3 .c. Y o u m a y
p r o v id e o n ly a p o s t o f f ic e b o x in
r e s p o n s e to Q u e s t io n 3 .e.
3. If a d d it io n a l s p a c e is n e e d e d to
a n s w e r Q u e s t i o n s 4, 6 , a n d 7, p h o t o c o p y
th e a p p r o p r ia te p a g e ( s ) o f a b la n k F o rm
T A - 1 , a n d c o n t in u e s u c h a n s w e r s
th ereo n .
4. In a n s w e r in g Q u e s t io n s 4, 6 , a n d 7
d o n o t c h e c k a n y o f th e b o x e s m a r k e d
" D e le t e .” T h e s e b o x e s a r e to b e u s e d
o n ly w h e n a m e n d in g F o rm T A - 1 .
5. In a n s w e r in g Q u e s t io n 5, for
p u r p o s e s o f th is fo rm , a tr a n s fe r a g e n t is
a n “a f f i l i a t e ” o f, or “a f f ilia t e d ” w it h , a
p e r s o n , if th e t r a n s fe r a g e n t d ir e c tly , or
in d ir e c t ly th r o u g h o n e o r m o r e
in te r m e d ia r ie s , c o n t r o ls , or is c o n t r o lle d
b y , o r is u n d e r c o m m o n c o n tr o l w ith ,
th a t p e r s o n .
6. In a n s w e r in g Q u e s t io n s 6 a n d 7, a
“n a m e d tr a n s fe r a g e n t ” is a t r a n s fe r
a g e n t e n g a g e d b y th e is s u e r to p e r fo r m
t r a n s fe r a g e n t f u n c t io n s fo r a n i s s u e o f
s e c u r it ie s . T h e r e m a y b e m o r e th a n o n e
n a m e d t r a n s fe r a g e n t fo r a g iv e n
s e c u r ity i s s u e [e.g., p r in c ip a l t r a n s fe r
a g e n t, c o - tr a n s fe r a g e n t s o r o u ts id e
r e g is tr a r s).
A " s e r v ic e c o m p a n y ” is a n e n t it y th a t
is e n g a g e d b y a n a m e d tr a n s fe r a g e n t to
p e r fo r m tr a n s fe r a g e n t f u n c t io n s fo r th a t
n a m e d tr a n s fe r a g e n t a n d is s o m e t im e s
r e fe r r e d to a s a s e r v ic e b u r e a u , p r iv a t e
la b e l s e r v ic e , tr a n s fe r p r o c e s s in g
s e r v ic e , s e r v i c e a g e n t, o u t s id e s e r v ic e
c e n t e r o r s e c u r ity h o ld e r r e c o r d k e e p in g
s e r v ic e .
B.
A m en din g R egistration . W h e n
a m e n d in g F o rm T A - 1 , th e r e g is tr a n t
m u s t i d e n t if y i t s e l f a n d th e filin g b y
a n s w e r in g Q u e s t io n s 1 th r o u g h 3.
O t h e r w is e , o n ly a n s w e r Q u e s t io n s th a t
r e q u ir e a m e n d m e n t . W h e n a d d in g n e w
in fo r m a tio n , e n t e r th a t in fo r m a tio n in to
th e a p p r o p r ia te s p a c e s . W h e n d e le t in g
in fo r m a t io n fro m a p rio r filin g , r e p e a t
th e in fo r m a t io n e x a c t l y a s it a p p e a r e d in
th e p rio r filin g a n d c h e c k th e
c o r r e s p o n d in g b o x m a r k e d “D e l e t e .”
C.
E xecution o f Form T A -1 a n d
A m en d m en ts Thereto. A d u ly a u th o r iz e d
o f f ic ia l or p r in c ip a l o f th e r e g is tr a n t
m u s t e x e c u t e F orm T A - 1 a n d a n y
a m e n d m e n t s th e r e t o a t Q u e s t io n 8 o n
b e h a lf o f th a t r e g is tr a n t. F o r a c o r p o r a te
r e g is tr a n t, th e term “o f f i c i a l ” in c lu d e s
c h a ir m a n or v ic e - c h a ir m a n o f th e b o a r d
o f d ir e c to r s , c h a ir m a n o f th e e x e c u t i v e
c o m m it t e e or a n y o f fic e r o f th e
c o r p o r a t io n w h o is a u th o r iz e d b y th e
c o r p o r a t io n to s ig n F o rm T A - 1 o n its
b e h a lf. F o r a n o n -c o r p o r a te r e g is tr a n t,
d u ly a u th o r iz e d p r in c ip a l m e a n s a
p r in c ip a l o f th e r e g is tr a n t w h o is
a u th o r iz e d to s ig n F o rm T A - 1 o n its
b e h a lf.
T h e n a m e o f th e in d iv id u a l s ig n in g
F orm T A - 1 s h a ll b e s t a t e d in fu ll [i.e.,
fir st n a m e , m id d le n a m e a n d l a s t n a m e ).
I n it ia ls a r e n o t a c c e p t a b le , u n l e s s t h e y
a r e p a rt o f th e i n d iv id u a l’s le g a l n a m e .
B y e x e c u t in g F o rm T A - 1 , th e
r e g is tr a n t a g r e e s a n d c o n s e n t s th a t
n o t ic e o f a n y p r o c e e d in g u n d e r th e A c t
b y th e F B R s o r th e S E C in v o lv in g th e
r e g is tr a n t m a y b e g iv e n b y s e n d in g s u c h
n o t i c e b y r e g is te r e d o r c e r t if ie d m a il o r
c o n f ir m e d te le g r a m to th e r e g is tr a n t,
“A t t e n t io n O f fic e r in C h a r g e o f T r a n s fe r
A g e n t A c t i v i t i e s ,” a t it s p r in c ip a l o f f ic e
fo r t r a n s fe r a g e n t a c t i v i t i e s a s g iv e n in
r e s p o n s e to Q u e s t io n 3 .c. o f F o rm T A - 1 .
III. N otice.
U n d e r S e c t io n s 1 7 , 1 7 A (c ), a n d 23 (a )
o f th e A c t a n d th e r u le s a n d r e g u la t io n s
th e r e u n d e r , th e A R A s a r e a u th o r iz e d to
s o lic it fro m a p p lic a n t s fo r r e g is tr a t io n a s
a tr a n s fe r a g e n t a n d fro m r e g is te r e d
t r a n s fe r a g e n t s th e in fo r m a tio n r e q u ir e d
to b e s u p p lie d b y F o rm T A - 1 . D is c lo s u r e
to th e A R A o f th e in fo r m a t io n r e q u e s t e d
in F o rm T A - 1 is a p r e r e q u is it e to th e
p r o c e s s in g p u r p o s e o f d e t e r m in in g
w h e t h e r th e A R A s h o u ld a l l o w a n
a p p lic a t io n fo r r e g is tr a t io n to b e c o m e
e f f e c t i v e or s h o u ld d e n y , a c c e l e r a t e o r
p o s t p o n e r e g is tr a t io n to a n a p p lic a n t.
I n fo r m a tio n s u p p lie d o n th is F o r m w i l l
b e in c lu d e d r o u t in e ly in th e p u b lic f ile s
o f th e A R A a n d w i l l b e a v a i l a b l e fo r
in s p e c t io n b y a n y in t e r e s t e d p e r s o n .
[FR Doc. 82-8996 Filed 4-5-82; 8:45 am]
@FedFRASER