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SEC RIN: 3235-AK57 Publication ID: Fall 2010 
Title: Transfer Agent Regulation 
Abstract: The Division is considering recommending that the Commission propose additions and amendments to the current transfer agent rules in order to update the existing regulatory network. 
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 
CFR Citation: 17 CFR 240.17Ad-1 to 17Ad-4    17 CFR 240.17Ad-6 to 17Ad-7    17 CFR 240.17Ad-12    17 CFR 240.17Ad-13   
Legal Authority: 15 USC 78q-1   
Legal Deadline:  None
Action Date FR Cite
NPRM  02/00/2011    
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Susan M. Petersen
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5719