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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Key Dates
Department and Agencies
Related Federal Register Documents
2026-18190, Transfer Agent Rules
The U.S. Securities and Exchange Commission ("SEC" or "Commission") is proposing to adopt new rules, amend existing rules, amend the existing form for registration with the Commission as a transfer agent (Form TA-1) and the existing form for reporting activities of transfer agents (Form TA-2), and rescind an existing rule governing registered transfer agents. The proposals are designed to modernize the rules governing registered transfer agents.
2026-17183, Regulation Crypto Assets
The Securities and Exchange Commission ("Commission") is proposing new rules to create a tailored offering regime for certain investment contracts involving crypto assets. The proposed offering regime is intended to facilitate capital formation and accommodate innovation within the crypto asset markets while, at the same time, ensuring that investors are adequately protected and provided with the information they need to make informed investment decisions. The proposed rules would be set forth in a new regulation titled "Regulation Crypto Assets" and would include two exemptions from the registration requirements of section 5 of the Securities Act of 1933. The first exemption would permit offerings of up to $5 million during a four-year period. The second exemption would permit offerings of up to $75 million during each 12-month period. Under both exemptions, issuers would be required to make certain principles-based narrative disclosures available to their investors. In addition, issuers under the second exemption would be required to provide financial statements and would be subject to ongoing reporting requirements. Issuers that rely on these exemptions would remain subject to the antifraud and antimanipulation provisions of the Federal securities laws. The proposed rules also would include a conditional safe harbor from the term "investment contract" in the definitions of "security" in the Securities Act of 1933 and the Securities Exchange Act of 1934. If the conditions of that proposed safe harbor are satisfied, then a crypto asset would be deemed not to be subject to an investment contract for purposes of those definitions of "security."
2026-12163, The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS
The SEC wants to scrap some old rules that stop stocks from being traded at worse prices and prevent confusing market quotes. This change affects stock traders and exchanges, aiming to simplify trading and possibly speed things up. If you want to share your thoughts, you’ve got until August 17, 2026, so don’t miss out!
2026-10373, Registered Offering Reform
The SEC wants to make it easier and cheaper for more companies to sell their stocks and bonds to the public. They’re opening up special forms and benefits to more businesses, updating rules to be more modern, and cutting red tape by overriding some state rules. If you’re a company planning to raise money, these changes could speed things up and save you money, with feedback due by July 27, 2026.
2026-10222, Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies
The SEC is making it easier for companies that report their finances by simplifying their categories into just two groups: big and small filers. Smaller companies, including emerging growth ones, will get more time to file reports and enjoy simpler rules, while big companies keep stricter standards. These changes aim to save time and money, with feedback open until July 20, 2026.
2026-07651, Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources
The SEC wants your thoughts on how it tracks stock market trades using the Consolidated Audit Trail and other data tools. They’re thinking about updating rules to keep up with new tech, privacy, and security needs, and to make sure the system is fair and cost-effective. If you’re involved in the stock market or data tracking, speak up by June 22, 2026!
Previous / Next Documents
Previous: 2026-14630, Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17f-2(e)
The SEC wants to keep the fingerprinting rules for brokers, dealers, and other financial pros going strong by extending the paperwork collection under Rule 17f-2(e). Covered folks must keep a special notice handy to claim fingerprinting exemptions, making sure regulators can check it anytime. No big changes or extra costs, just keeping things clear and organized for investor safety.
Next: 2026-14632, Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 31a-2
The SEC wants to keep the rules that say investment funds and related folks must save important business records for set times. This helps the SEC check if funds follow the law, even years later, without changing costs or deadlines. If you’re a fund, broker, or adviser, you’re the one who needs to keep these records safe and sound.