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SEC RIN: 3235-AL55 Publication ID: Fall 2018 
Title: Transfer Agents 
Abstract:

The Division is considering recommending that the Commission propose updates and refinements to the Commission's transfer agent regulatory regime to update the existing regulatory framework. 

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 14192 Designation: Independent agency 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 78q-1   
Legal Deadline:  None
Timetable:
Action Date FR Cite
ANPRM  12/31/2015  80 FR 81948   
ANPRM Comment Period Extended  02/23/2016  81 FR 8867   
ANPRM Comment Period End  02/29/2016 
ANPRM Comment Period Extended End  04/14/2016 
NPRM  09/00/2019 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/concept/2015/34-76743.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Christian Sabella
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5997