Transfer Agent Rules

The Securities and Exchange Commission is proposing to update the rules and forms that apply to registered transfer agents.  The proposed updates would amend existing transfer agent rules and forms, as well as introduce two new rules and rescind an existing rule for transfer agents. The proposed updates reflect the technological environment in which transfer agents operate, including the widespread use of electronic recordkeeping and communications, and the services they provide to issuers, investors, and other market intermediaries.