The Securities Exchange Act of 1934 (the Act) requires any person acting as a transfer agent to register as such with the appropriate regulatory agency (ARA). The Board is the ARA for state member banks (SMBs) and their subsidiaries, bank holding companies (BHCs), savings and loan holding companies (SLHCs), and certain other subsidiaries of BHCs. Transfer agents for which the Board is the ARA must register with the Board using Form TA-1.
The latest form for Transfer Agent Registration and Amendment Form expires 2022-12-31 and can be found here.
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight
Form Form TA-1 | Transfer Agent Registration and Amendment Form | www.ffiec.gov/ffiec_report_forms.htm | Form |
Form | www.ffiec.gov/ffiec_report_forms.htm | Instruction |
Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.