OCIE Registrations Branch
Broker-Dealers, Investment Advisers, Transfer Agents, and Municipal or Government Securities Dealers that require assistance in registering with the Commission or amending a registration or need assistance regarding reporting requirements should contact the Registrations Branch at (202) 551-7250.
If you would like to register with the Commission as a Transfer Agent you may do so by filing an application for registration as a transfer agent (Form TA-1) with the Commission. You may review a pdf copy of Form TA-1 and the instructions to the form on the Commission’s website at www.sec.gov. However, please note that Form TA-1 must be filed in electronic format on the Commission’s EDGAR database unless the Commission has granted the filer an exemption from electronic filing. Information about filing Form TA-1 on EDGAR is available on the Commission’s Website at www.sec.gov/info/edgar/ednews/ta-filing.htm. For further guidance, you may contact either the Commission’s Division of Market Regulation, Office of Clearance and Settlement at 202-551-5710 for substantive questions related to Form TA-1 or you may contact EDGAR Filer Support at 202-551-8900 for questions related to accessing and submitting the forms on EDGAR.
If you would like to register with the Commission as a Municipal or Government Securities Dealer, or if you have general questions regarding who is required to register, you should obtain the Commission's municipal or government securities dealers registration package. The municipal or government securities dealers registration package can be obtained by calling the Publication Unit at (202) 551-4046 or by writing to the Publications Unit, Securities and Exchange Commission, 100 F Street, NE, Washington DC 20549, or by electronic mail request to firstname.lastname@example.org.
Once you have reviewed the registration package, and determined that you are required to register with the Commission, you must submit your completed registration package to the Securities and Exchange Commission, Office of Compliance Inspections and Examinations, The Registrations Branch, Mail Stop 8031, 100 F Street, NE, Washington, DC 20549.