Regulatory Alerts2026-09-04 | 2026-18190Added
Transfer Agent Rules
The Securities and Exchange Commission proposes to adopt new rules, amend existing rules, and amend Forms TA-1 and TA-2 to modernize regulations governing registered transfer agents. The proposal includes adding new rules 17ad-30 and 17ad-31, rescinding Rule 17ad-4, and amending Rules 17ac2-1, 17ac2-2, 17ad-1, 17ad-2, 17ad-3, 17ad-6, 17ad-7, 17ad-9, 17ad-10, 17ad-12, and 17ad-17. The document also proposes modifying CFR designations to replace uppercase letters with lowercase letters in rule citations.
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