This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. To find a form, either select the appropriate category below or scroll through the full list of SEC forms in alphanumeric order. Please note that you will need Adobe Reader plug-in to view these forms (available for free from Adobe through our About Adobe Acrobat (PDF) page).

Number
Description
Last Updated
SEC Number
Topic(s)
Number:TA-1 Description: Uniform form for registration as a transfer agent and for amendment to registration (PDF)
Last Updated: SEC Number:

SEC1528

Topic(s):Transfer Agents
Number:TA-2 Description: Form for reporting activities of transfer agents (PDF)
Last Updated: SEC Number:

SEC2113

Topic(s):Transfer Agents
Number:TA-W Description: Notice of withdrawal from registration as transfer agent (PDF)
Last Updated: SEC Number:SEC1669 Topic(s):Transfer Agents