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SEC

RIN: 3235-AL55

Publication ID: Spring 2020

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 13771 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	10/00/2020

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: 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