---

17 C.F.R. PART 249b—FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934

Title 17 - Commodity and Securities Exchanges

Title 17: Commodity and Securities Exchanges

Browse Previous |  Browse Next

PART 249b—FURTHER FORMS, SECURITIES EXCHANGE ACT OF 1934

---

Section Contents
§§ 249b.1-249b.99   [Reserved]
§ 249b.100   Form TA–1,¹ uniform form for registration as a transfer agent pursuant to section 17A of the Securities Exchange Act of 1934.
§ 249b.101   Form TA-W, notice of withdrawal from registration as transfer agent.
§ 249b.102   Form TA–2,¹ form to be used by transfer agents registered pursuant to section 17A of the Securities Exchange Act of 1934 for the annual report of transfer agent activities.
§ 249b.200   Form CA–1, ¹ form for registration or for exemption from registration as a clearing agency and for amendment to registration as a clearing agency pursuant to section 17A of the Securities Exchange Act of 1934.

---

Authority:  15 U.S.C. 78a et seq., unless otherwise noted;

Sections 249b.100 and 249b.102 also issued under secs. 17, 17A and 23(a); 48 Stat. 897, as amended, 89 Stat. 137, 141 and 48 Stat. 901 (15 U.S.C. 78q, 78q–1, 78w(a)).

§§ 249b.1-249b.99   [Reserved]

top

§ 249b.100   Form TA–1,¹ uniform form for registration as a transfer agent pursuant to section 17A of the Securities Exchange Act of 1934.

top

¹ Copies of the form may be obtained from the Publications Section, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549 and from each of the Commission's regional and district offices.

This form shall be used for application for registration as a transfer agent and for amendment to registration as a transfer agent pursuant to section 17A of the Securities Exchange Act of 1934.

[40 FR 51184, Nov. 4, 1975, as amended at 51 FR 12127, Apr. 9, 1986]

Editorial Note:  For Federal Register citations affecting Form TA–1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 249b.101   Form TA-W, notice of withdrawal from registration as transfer agent.

top

This form shall be used for withdrawing, pursuant to section 17A of the Securities Exchange Act of 1934, the registration of transfer agents registered with the Commission.

(Secs. 2, 17, 17A and 23(a); (15 U.S.C. 78b, 78a, 78a–1 and 78w(a)))

[42 FR 44984, Sept. 8, 1977]

Editorial Note: For Federal Register citations affecting Form TA-W, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 249b.102   Form TA–2,¹ form to be used by transfer agents registered pursuant to section 17A of the Securities Exchange Act of 1934 for the annual report of transfer agent activities.

top

¹ Copies of the form may be obtained from the Publication Section, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549 and from each of the Commission's regional and district offices.

This form shall be used on an annual basis for registered transfer agents for reporting their business activities.

[51 FR 12134, Apr. 9, 1986]

Editorial Note:  For Federal Register citations affecting Form TA–2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 249b.200   Form CA–1, ¹ form for registration or for exemption from registration as a clearing agency and for amendment to registration as a clearing agency pursuant to section 17A of the Securities Exchange Act of 1934.

top

¹ Copies of the form may be obtained from the Publication Section, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549 and from each of the Commission's regional and district offices.

This form shall be used for application for registration or for exemption from registration as a clearing agency and for amendment to registration as a clearing agency pursuant to section 17A of the Securities Exchange Act of 1934.

[40 FR 52359, Nov. 10, 1975, as amended at 51 FR 12134, Apr. 9, 1986]

Browse Previous |  Browse Next