Transfer Agent Registration and Amendment Form -- Form TA-1

The TA-1 Form is used for initial registration as a transfer agent and subsequent amendments to registration. The OCC uses the information to determine whether to allow, deny, accelerate, or postpone an application. The OCC also uses the data to more effectively schedule and plan transfer agent examinations. When a national bank or federal savings association no longer acts as a transfer agent for covered corporate securities or when the national bank or federal savings association is no longer supervised by the OCC, i.e. liquidates or converts to another form of financial institution, the bank or savings association must file form TA-W with the OCC, requesting withdrawal from registration as a transfer agent. This nonmaterial change revises portions of the interagency Transfer Agent Registration and Amendment Form (Form TA-1), the OCC only Notice of Withdrawal from Registration as a Transfer Agent (Form TA-W), and the form’s accompanying instructions. Updates to the forms include: (1) agency's information collection expiration date; (2) department title in the burden hour language; and (3) adding an email address as an additional submission method. The updates to the instructions include: (1) adding an email address as an additional submission method; and (2) simplifying the Number of Copies section. There are no changes to the respondents or burden.

The latest form for Transfer Agent Registration and Amendment Form -- Form TA-1 expires 2027-06-30 and can be found here.

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Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

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