View Rule
View EO 12866 Meetings | Printer-Friendly Version Download RIN Data in XML |
SEC | RIN: 3235-AH44 | Publication ID: Fall 1999 |
Title: Revised Transfer Agent Form and Related Rule | |
Abstract: The Securities and Exchange Commission (Commission) proposed amendments to Rule 17Ac2-2 and related Form TA-2 and its proposal to rescind Rule 17a-24 under the Securities Exchange Act. The amendments would make technical corrections and provide greater clarity to Form TA-2. Accordingly, the amendments are designed to clarify filing requirements and instructions; eliminate or change ambiguous terms and phrases; delete certain redundant or unnecessary questions; and add questions that would help the Commission to more effectively monitor the transfer agent industry. | |
Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Undetermined | Unfunded Mandates: No |
CFR Citation: 17 CFR 240.17Ac2-2 17 CFR 240.17a-24 17 CFR 249b.102 (To search for a specific CFR, visit the Code of Federal Regulations.) | |
Legal Authority: 15 USC 78g-l |
Legal Deadline:
None |
||||||||||||
Timetable:
|
Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: None |
Small Entities Affected: Businesses | |
Included in the Regulatory Plan: No | |
Agency Contact: Lori Rae Bucci Office of Risk Management and Control, Division Market Regulation Securities and Exchange Commission Phone:202 942-0742 Fax:202 942-9695 Email: buccil@sec.gov |