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Federal Deposit Insurance Corporation

Division of Supervision

550 17th Street NW, Washington, DC 20429

Registered Transfer Agents
October 6, 1995



Revised Interagency Form for Registering as a Transfer Agent or Filing Amendments
(Form TA-1)


Our records indicate that your institution is registered with the FDIC as a "transfer agent" engaging in such functions
as maintaining records and transferring securities on behalf of a securities issuer or a mutual fund. Therefore, you
should be aware that the form used to register or amend registration as a transfer agent (Form TA-1) has been
revised and updated. A copy of the new form is attached. The revised form was developed by an interagency working
group from the FDIC, the Federal Reserve Board, the Office of the Comptroller of the Currency and the Securities
and Exchange Commission.


Form TA-1 is used to keep registration information current. The revisions to the form are intended to clarify the type of
information desired, to obtain more relevant information and to recognize changes occurring in the banking industry.
The revised form should be used in all future registrations and amendments. Previous versions of Form TA-1 will no
longer be accepted.
There is no automatic requirement to file a new Form TA-1 at this time. However, an updating amendment using the
new form is required if the information previously reported has changed or if the information required by the new form
differs from what your institution previously reported.
The primary changes to the form include:

A new Item 5 for the location of the registrant's headquarters, which will help regulators identify the entity
being registered;
Clarifications to Items 8 to 9 to ensure that only locations of the registrant -- not affiliates or servicers -- are to
be reported;
A clarification that only "private label servicers" (i.e., outside companies performing transfer agent functions in
the registrant's name) and not electronic data processing (EDP) servicers must be reported in Item 11 -- a
change that will result in most FDIC-supervised organizations no longer completing this item; and



New wording to make clear that the organization is filing the form, not individual employees;


Various other changes to Items 11 and 12 that will result in most FDIC-supervised organizations not needing
to complete them. Items 11 and 12 now call for the use of a Registered Transfer Agent Number. Entities
reported in Items 11 and 12 must be registered transfer agents even if they have contracted with a private
label transfer agent servicer.

Any questions about the revised form or whether your institution needs to file an updating amendment may be
directed to John F. Harvey, Trust Review Examiner, FDIC Division of Supervision, Room F-612, Washington, DC
20429 (phone 202-898-6762).
Nicholas J. Ketcha Jr.
Acting Director
Distribution: FDIC-Supervised Registered Transfer Agents