When to File. Before a transfer agent may perform any transfer agent function for a qualifying security, it must submit an application for registration on Variety TA-one with its ARA and its registration need to grow to be successful.
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How you can Withdraw from Registration. Any transfer agent trying to get to withdraw its registration being a transfer agent should file correct observe with its ARA.
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TIAA-CREF (Division wouldn't endorse enforcement motion if TIAA maintains the Formal information of deal holder account ownership for that variable annuities issued or funded by School Retirement Equities Fund with no registering as a transfer agent in reliance about the "insurance provider exclusion" from your definition of transfer agent in Segment three(a)(25) in the Trade Act.)
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Cybersecurity also is a accountability of each market participant. The SEC is committed to dealing with federal and native associates, marketplace individuals, and Other folks to observe developments and correctly respond to cyber threats.
When the SEC is definitely the ARA, the transfer agent's observe of withdrawal from registration shall be filed on Sort TA-W in accordance With all the Guidance contained thereon. All other transfer agents must Get hold of their ARAs for ideal Guidance.