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SEC RIN: 3235-AL55 Publication ID: Spring 2025 
Title: Transfer Agents 
Abstract:

The Division is considering recommending that the Commission propose updates and refinements to modernize the Commission's existing regulatory regime for transfer agents, including rules relating to crypto assets and the use of distributed ledger technology by transfer agents. 

 
Agency: Securities and Exchange Commission(SEC)  Priority: Economically Significant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Yes  Unfunded Mandates: No 
EO 14192 Designation: Regulatory 
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  04/00/2026 
Regulatory Flexibility Analysis Required: YES  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  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: Yes 
Agency Contact:
Moshe Rothman
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5645
Email: rothmanm@sec.gov