Transfer agents, which are institutions that provide securities transfer, registration, monitoring, and other specified services on behalf of securities issuers, are generally subject to certain Securities and Exchange Commission (SEC) regulations. A transfer agent is Board-regulated if it is a state member bank or a subsidiary thereof, a bank holding company (BHC), or a savings and loan holding company (SLHC). Certain transfer agent subsidiaries of BHCs are also Board-regulated. A Board-regulated transfer agent that transfers and processes a low volume of securities (low-volume transfer agent) may request an exemption from those regulations by filing with the Board a notice (exemption notice) certifying that it qualifies as a low-volume transfer agent.
The latest form for Notice Claiming Status as an Exempt Transfer Agent expires 2022-09-30 and can be found here.
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Federal Enterprise Architecture: Economic Development - Financial Sector Oversight