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Announcement

Transfer Agent Forms

March 28, 2017

The Microsoft InfoPath templates used to file Transfer Agent forms TA-1, TA-2, and TA-W were retired on March 10, 2017.

Effective March 13, 2017, filers must use the new online version of the forms application available on the EDGAR Filing Website to file Transfer Agent forms. This web-based application replaces the corresponding Microsoft InfoPath templates that were previously used to file these forms. Filers can access Transfer Agent forms by selecting the 'File Transfer Agent Forms' link on the EDGAR Filing Website.

Former Chapter 8 (Preparing and Transmitting EDGARLite Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing" was retired. Former Chapter 9 (Preparing and Transmitting Online Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing" has been renumbered as new Chapter 8 and two new sections have been added to this Chapter 8 to guide filers through the filing process for Transfer Agent forms. New section 8.2.23 generally addresses Transfer Agent Forms. New section 8.2.24 addresses the process of Completing a Transfer Agent Form, focusing on the three types of transfer agent forms (TA-1, TA-2, and TA-W) and containing three subsections (8.2.24.1, 8.2.24.2, and 8.24.2.3) respectively relating to each of these different Transfer Agent forms.  (Conforming numbering changes have also been made to renumber former Chapters 10 (Filer-Constructed XML Submissions) and 11 (Determining the Status of Your Filing) as new Chapters 9 and 10 respectively).

Previously, filers who did not wish to use Infopath to file transfer agent forms could construct an XML submission and submit it via the EDGAR Filing Website.  In connection with the new online transfer agent forms, filers who do not wish to file transfer agent forms using the new online forms can continue to construct such XML submissions and file them via the EDGAR Filing Website.  The updated XML Technical Specification documents for Transfer Agent forms describe construction of such an XML submission.