Comments on Concept Release: Transfer Agent Regulations

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Jaime Lizárraga regarding a May 30, 2023, meeting with representatives of the Securities Transfer Association
Public Comment J. Brent Burkholder, CEO and Treasurer, N.I.S. Financial Services, Inc.
Meeting with SEC Officials Memorandum from the office of Commissioner Hester M. Peirce regarding a December 11, 2020 call with representatives of the Securities Transfer Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester Peirce regarding a May 1, 2020 telephone call with representatives of the Securities Transfer Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester Peirce regarding an April 30, 2020 telephone call with representatives of the Investment Company Institute
Public Comment Henry Ward, Chief Executive Officer, Carta, Inc.
Public Comment Eric T. Anderson, Pottsboro, Texas
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 12, 2016 meeting with representatives of the Investment Company Institute
Public Comment Keith Paul Bishop, Former California Commissioner of Corporations, Trabuco Canyon, California
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 9, 2016 meeting with representatives of the Securities Transfer Association
Public Comment Jesse Hill, Principal, Government and Regulatory Relations, Edward Jones & Co., LP
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 12, 2016 meeting with representatives of Seward & Kissel LLP
Meeting with SEC Officials Memorandum regarding from the Division of Trading and Markets regarding a March 24, 2016 meeting with representatives of the American Bankers Association
Meeting with SEC Officials Memorandum regarding from the Division of Trading and Markets regarding a February 17, 2016 meeting with representatives of the Shareholders Services Association
Meeting with SEC Officials Memorandum regarding from the Division of Trading and Markets regarding a March 15, 2016 meeting with representatives of the Securities Transfer Association
Meeting with SEC Officials Memorandum regarding from the Division of Trading and Markets regarding an April 4, 2016 meeting with representatives of Computershare
Public Comment J. Steven Duncan, President, American Funds Service Company, et al.
Public Comment Niels Holch, Executive Director, Coalition of Mutual Fund Directors
Public Comment Alvin Santiago, President, and Bernadette V. Maffei, Vice President, Shareholder Services Association
Public Comment Amy B.R. Lancellotta, Managing Director, Independent Directors Council
Public Comment Anne Sheehan, Director of Corporate Governance, California State Teachers' Retirement System
Public Comment Brian H. Graff, Esq., APM, Executive Director/CEO, American Retirement Association, et al.
Public Comment Campbell Pryde, President and CEO, XBRL US, Inc.
Public Comment Charles V. Callan, SVP Regulatory Affairs, Broadridge Financial Solutions, Inc.
Public Comment Cristeena Naser, Vice President and Senior Counsel, Center for Securities, Trust and Investments, American Bankers Association, Washington, District of Columbia
Public Comment Daniel Thieke, Managing Director, General Manager Settlement and Asset Services, The Depository Trust and Clearing Corporation
Public Comment Erik S. Nelson, Coral Capital Partners, Inc., Atlanta, Georgia
Public Comment Erik S. Nelson, Mountain Share Transfer, LLC, Atlanta, Georgia
Public Comment Glenn Davis, Director of Research, Council of Institutional Investors
Public Comment Marco A. Santori, Pillsbury Winthrop Shaw Pittman LLP, on behalf of Symbiont, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-27-15
Release Number
34-76743
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