SEC Form for Transfer Agents Ready to Quit the Business
Published Date: 9/25/2026
Notice
Summary
The SEC is asking to keep using Rule 17Ac3-1 and Form TA-W, which transfer agents must file when they want to stop their work. This form helps the SEC track where agents worked, why they’re leaving, and if any issues remain. Transfer agents need to file this electronically, and the extension means no new costs or changes, just more time to keep things running smoothly.
Analyzed Economic Effects
1 provisions identified: 0 benefits, 1 costs, 0 mixed.
Transfer agents must file Form TA-W
If a transfer agent withdraws registration with the SEC, you must file Form TA-W electronically on EDGAR and provide the SEC information including locations where transfer agent activities were performed, reasons for ceasing those activities, any unsatisfied judgments or liens, and successor transfer agent information. The SEC estimates about 12 Forms TA-W filed per year, each taking about 30 minutes (0.5 hours) to complete, with an estimated internal labor cost of about $72 per filing and an aggregate annual cost of about $864 (12 filings × $72).
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