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What is a Transfer Agent (TA)? "Transfer agents record changes of ownership, maintain the issuer's security holder records, cancel and issue certificates, and distribute dividends. Because transfer agents stand between issuing companies and security holders, efficient transfer agent operations are critical to the successful completion of secondary trades." U.S.SECU Transfer Agents EXCHAN RITIES AND in Continental Stock Tran www.sec.gov/divisions/marketreg/mrtransfer.shtml COMMISSION Division of Trading and Markets About the Division Broker-Dealers Banks and Other Depository Institutions Markets Credit Rating Agencies Exchanges Over-the-Counter ECNS/Alternative Trading Systems Home | Jobs | Fast Answers | Site Map | Search U.S. Securities and Exchange Commission Transfer Agents Important Notes: Electronic Filing of Transfer Agent Forms Filing Date Adjustment for Electronic TA Submissions Transfer agents record changes of ownership, maintain the issuer's security holder records, cancel and issue certificates, and distribute dividends. Because transfer agents stand between issuing companies and security holders, efficient transfer agent operations are critical to the successful completion of secondary trades. Section 17A(c) of the 1934 Act requires that transfer agents be registered with the SEC, or if the transfer agent is a bank, with a bank regulatory agency. There is no SRO that governs transfer agents. The SEC therefore has promulgated rules and regulations for all registered transfer agents, intended to facilitate the prompt and accurate clearance and settlement of securities

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