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Transfer Agent Data Sets

October 2006 - March 2021

Transfer Agent Image

The Transfer Agent Data Sets below provide the structured data from transfer agent registration and annual activities reporting filed with the Commission.  The data is extracted from the eXtensible Markup Language (XML) submissions to the Commission in Form TA-1, Form TA-2, and Form TA-W.  The data is presented without change from the “as-filed” submissions.  The data is presented in a flattened format to provide the public with readily available data about transfer agents and their activities.

The data sets will be updated quarterly.  Data contained in documents filed after 5:30PM Eastern on the last business day of a quarter will be included in the subsequent quarterly posting.

The Guide to Transfer Agent Data Sets (PDF, 470 kb) provides documentation of scope, organization, file formats and table definitions.

Find out more about Transfer Agents.

DISCLAIMER: The Transfer Agent Data Sets contain information derived from structured data filed with the Commission by individual registrants as well as Commission-generated filing identifiers.  Because the data sets are derived from information provided by individual registrants, we cannot guarantee the accuracy of the data sets.  In addition, it is possible inaccuracies or other errors were introduced into the data sets during the process of extracting the data and compiling the data sets.  Finally, the data sets do not reflect all available information, including certain metadata associated with Commission filings.  The data sets are intended to assist the public in analyzing data contained in Commission filings; however, they are not a substitute for such filings.  Investors should review the full Commission filings before making any investment decision.

Quick Tips

  • Import the dataset to Microsoft Excel: Download and extract files from zip file. Open Excel and click the “Data” tab. In the “Get External Data” group of buttons on the left, click the “From Text” button. In the “Import Text File” dialog box, make sure “All Files” is selected in the drop-down menu on the bottom right, and select the extracted file you wish to open in Excel. In the “Text Import Wizard,” select the “Delimited” bubble and check the “My data has headers” checkbox, and click Next. On the next screen, check the “Tab” checkbox under “Delimiter”, click Next, click Finish, and click OK. You can use Excel to add filters and set views, perform calculations and lookups, and create graphs and charts.
  • Alternatively, you may open the extracted file in Excel: right click an extracted file and select Open with and choose Excel. Select Choose another app if Excel not available and locate Excel in the pop up window. You may select to always open in Excel.

    Data Downloads

    File
    Format
    Size
    File: 2021 Q1 TA Format:ZIP Size:881.21 KB
    File: 2020 Q4 TA Format:ZIP Size:580.89 KB
    File: 2020 Q3 TA Format:ZIP Size:418.45 KB
    File: 2020 Q2 TA Format:ZIP Size:419.18 KB
    File: 2020 Q1 TA Format:ZIP Size:478.66 KB
    File: 2019 Q4 TA Format:ZIP Size:461.79 KB
    File: 2019 Q3 TA Format:ZIP Size:416.59 KB
    File: 2019 Q2 TA Format:ZIP Size:593.59 KB
    File: 2019 Q1 TA Format:ZIP Size:339.97 KB
    File: 2018 Q4 TA Format:ZIP Size:503.92 KB
    File: 2018 Q3 TA Format:ZIP Size:505.9 KB
    File: 2018 Q2 TA Format:ZIP Size:645.18 KB
    File: 2018 Q1 TA Format:ZIP Size:554.25 KB
    File: 2017 Q4 TA Format:ZIP Size:408.09 KB
    File: 2017 Q3 TA Format:ZIP Size:890.7 KB
    File: 2017 Q2 TA Format:ZIP Size:529.43 KB
    File: 2017 Q1 TA Format:ZIP Size:540.95 KB
    File: 2016 Q4 TA Format:ZIP Size:487.75 KB
    File: 2016 Q3 TA Format:ZIP Size:821.21 KB
    File: 2016 Q2 TA Format:ZIP Size:389.47 KB
    File: 2016 Q1 TA Format:ZIP Size:616.44 KB
    File: 2015 Q4 TA Format:ZIP Size:616.59 KB
    File: 2015 Q3 TA Format:ZIP Size:634.58 KB
    File: 2015 Q2 TA Format:ZIP Size:583.54 KB
    File: 2015 Q1 TA Format:ZIP Size:669.02 KB
    File: 2014 Q4 TA Format:ZIP Size:456.14 KB
    File: 2014 Q3 TA Format:ZIP Size:963.23 KB
    File: 2014 Q2 TA Format:ZIP Size:358.45 KB
    File: 2014 Q1 TA Format:ZIP Size:672.8 KB
    File: 2013 Q4 TA Format:ZIP Size:233.74 KB
    File: 2013 Q3 TA Format:ZIP Size:273.01 KB
    File: 2013 Q2 TA Format:ZIP Size:276.08 KB
    File: 2013 Q1 TA Format:ZIP Size:231.9 KB
    File: 2012 Q4 TA Format:ZIP Size:202.89 KB
    File: 2012 Q3 TA Format:ZIP Size:342.4 KB
    File: 2012 Q2 TA Format:ZIP Size:176.48 KB
    File: 2012 Q1 TA Format:ZIP Size:169.34 KB
    File: 2011 Q4 TA Format:ZIP Size:238.22 KB
    File: 2011 Q3 TA Format:ZIP Size:257.78 KB
    File: 2011 Q2 TA Format:ZIP Size:209.53 KB
    File: 2011 Q1 TA Format:ZIP Size:433.15 KB
    File: 2010 Q4 TA Format:ZIP Size:316.39 KB
    File: 2010 Q3 TA Format:ZIP Size:694.83 KB
    File: 2010 Q2 TA Format:ZIP Size:425.6 KB
    File: 2010 Q1 TA Format:ZIP Size:1.07 MB
    File: 2009 Q4 TA Format:ZIP Size:928.57 KB
    File: 2009 Q3 TA Format:ZIP Size:771.35 KB
    File: 2009 Q2 TA Format:ZIP Size:466.02 KB
    File: 2009 Q1 TA Format:ZIP Size:659.84 KB
    File: 2008 Q4 TA Format:ZIP Size:248.71 KB
    File: 2008 Q3 TA Format:ZIP Size:314.61 KB
    File: 2008 Q2 TA Format:ZIP Size:193.79 KB
    File: 2008 Q1 TA Format:ZIP Size:285.37 KB
    File: 2007 Q4 TA Format:ZIP Size:209.69 KB
    File: 2007 Q3 TA Format:ZIP Size:211.78 KB
    File: 2007 Q2 TA Format:ZIP Size:81.48 KB
    File: 2007 Q1 TA Format:ZIP Size:404.14 KB
    File: 2006 Q4 TA Format:ZIP Size:43.78 KB
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