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SEC RIN: 3235-AL55 Publication ID: Fall 2014 
Title: Transfer Agent Concept Release 
Abstract: The Division is considering recommending that the Commission propose a concept release related to potential additions and amendments to the current transfer agent rules in order 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 13771 Designation: uncollected 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 USC 78q-1   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/00/2015 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
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