
Proposed Rule Electronic Filing Transfer Agent Forms; Release No Sec
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People also ask
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What is Section 17 of the 1934 Act?
Section 17A of the Act, and the rules promulgated thereunder, contain requirements for registered transfer agents relating to, among other things, processing securities transfers, safekeeping of investor and issuer funds and securities, and maintaining records of investor ownership.
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What is Section 17A of securities Contract regulation Act?
17 A. (1) Without prejudice to the provisions contained in this Act or any other law for the time being in force, no securities of the nature referred to in sub-clause (ie) of clause (h) of section 2 shall be offered to the public or listed on any recognised stock .
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Are transfer agents regulated by the SEC?
Transfer agents are required to be registered with the SEC, or if the transfer agent is a bank, with a bank regulatory agency. Most issuers identify their transfer agent on their company website under the “Investor Relations” tab.
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What is Section 17A C of the 1934 Act?
Section 17A(c)(1) of the Exchange Act provides that the appropriate regulatory agency, by rule or by order, upon its own motion or upon application, may conditionally or unconditionally exempt any person or security or class of persons or securities from any provision of Section 17A or any rule or regulation prescribed ...
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What forms are required to be filed with the SEC?
Among the most common SEC filings are: Form 10-K, Form 10-Q, Form 8-K, the proxy statement, Forms 3,4, and 5, Schedule 13D, Form 144, and Foreign Investment Disclosures. The annual 10-K report, for instance, provides a comprehensive summary of a company's financial performance.
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What is Section 17A C of the Securities Exchange Act of 1934?
Section 17A(c)(1) of the Exchange Act provides that the appropriate regulatory agency, by rule or by order, upon its own motion or upon application, may conditionally or unconditionally exempt any person or security or class of persons or securities from any provision of Section 17A or any rule or regulation prescribed ...
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What is SEC form ta 2?
Form for Reporting Transfer Agent Activities Pursuant to Section 17A of the Securities Exchange Act of 1934. ATTENTION: All transfer agents, whether they are registered with the SEC or with. another regulatory authority, must file an annual report on Form TA-2 in electronic format. with the SEC.
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What is Section 17A of the Prevention of Corruption Act?
Section 17A of the PC Act provides that no enquiry or inquiry or investigation shall be conducted by a police officer into any offence alleged to have been committed by a public servant under the PC Act without prior approval from appropriate authority.
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