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U.S. Securities and Exchange Commission

Filing Date Adjustment for Electronic TA Submissions

Important Notice: Due to software issues that are encountered while processing Form TA-1 and Form TA-2, some transfer agents currently are not able to submit these forms electronically on EDGAR. These issues are scheduled to be corrected by April 1, 2007. Accordingly, the Commission will adjust the filing date of any Form TA-1 or Form TA-2 filed between April 1, 2007 and May 31, 2007. The filing dates of those forms will be adjusted to March 31, 2007 (please note that the filing date will not be adjusted in EDGAR until after June 1, 2007). As a result, any Form TA-2 due by March 31, 2007, will not be treated as untimely filed if it is submitted on EDGAR by May 31, 2007.

The following two programming errors are scheduled to be corrected April 1, 2007:

  • Form TA-1: Any transfer agent that selects “Not Applicable” to Question 8 on Form TA-1 is erroneously being required to answer Questions 9 and 10. The reprogramming will allow transfer agents selecting “Not Applicable” to Question 8 to file the form without answering Questions 9 and 10.
  • Form TA-2: Any transfer agent that names the Board of Governors of the Federal Reserve System (BGFRS) as its Appropriate Regulatory Authority (ARA) in Question 3(a) is erroneously having its form suspended for having an invalid file number. The reprogramming will allow these forms to be accepted.



Modified: 03/21/2007