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TITLE 17 - COMMODITY AND SECURITIES EXCHANGES
CHAPTER II - SECURITIES AND EXCHANGE COMMISSION
PART 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
240.17Ac2 - 1 - Application for registration of transfer agents.
(a) An application for registration, pursuant to section 17A(c) of the Act, of a transfer agent for which the Commission is the appropriate regulatory agency, as defined in section 3(a)(34)(B) of the Act, shall be filed with the Commission on Form TA1, in accordance with the instructions contained therein and shall become effective on the thirtieth day following the date on which the application is filed, unless the Commission takes affirmative action to accelerate, deny or postpone such registration in accord- ance with the provisions of section 17A(c) of the Act.
(b) The filing of any amendment to an application for registration as a transfer agent pursuant to paragraph (a) of this section, which registration has not become effective, shall postpone the effective date of the registration until the thirtieth day following the date on which the amendment is filed, unless the Commission takes affirmative action to accelerate, deny or postpone the registration in accord- ance with the provisions of section 17A(c) of the Act.
(c) If any of the information reported on Form TA1 or on the SEC Supplement becomes inaccurate, misleading, or incomplete, the registrant shall correct the information by filing an amendment within sixty days following the date on which the information became inaccurate, misleading, or incomplete.
(d) Every registration and amendment filed pursuant to this section shall constitute a report or application within the meaning of sections 17, 17A(c), and 32(a) of the Act.
[40 FR 51184, Nov. 4, 1975, as amended at 51 FR 12127, Apr. 9, 1986]
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