SEC Seeks Comments on Transfer Agent Exit Form Extension
Published Date: 7/21/2026
Notice
Summary
The SEC is asking for comments to keep collecting info from transfer agents who want to stop their work officially. These agents must file a special form online explaining why they’re quitting and share some details about their activities. This update keeps the process smooth and protects investors without adding new costs or deadlines.
Analyzed Economic Effects
3 provisions identified: 0 benefits, 3 costs, 0 mixed.
Must File Form TA-W on EDGAR
If you are a transfer agent withdrawing your registration, you must file Form TA-W electronically on EDGAR as the Commission requires. This is the official notice of withdrawal under Rule 17Ac3-1(a).
Estimated Time and Cost Burden
The SEC estimates about 12 TA-W filings per year, with each filing taking about 30 minutes and an internal labor cost of about $72 per filing. The estimated aggregate annual burden is about 6 hours and $864 per year (12 filings x $72).
Specific Information Required on Form
Form TA-W requires withdrawing transfer agents to provide: the locations where transfer agent activities are or were performed; reasons for ceasing such activities; disclosure of unsatisfied judgments or liens; and information about successor transfer agents. The form must be filed electronically per the 2007 amendment.
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