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Instructions

(as such term is defined by the Commis-

trust company or other entity that is a bank

sion), and

within the meaning of the Act that is not

required to register with the OCC or FDIC and

2. in the case of an issuer that is a bank, a savings

that is a subsidiary of a bank holding com-

and loan holding company (as defined in sec-

pany, registers with the Board of Governors of

tion 10 of the Home Owners’ Loan Act), or a

the Federal Reserve System by submitting a

bank holding company, as such term is defined

Portable Document Format (“PDF”) version

in section 2 of the Bank Holding Company Act

of the form and attachments to the designated

of 1956 (12 U.S.C. 1841), has total assets

email address

exceeding $10,000,000 and a class of equity

MSD-GSD-Registration@frb.gov.

security (other than an exempted security) held

Note: All other non-bank subsidiaries of a bank

of record by 2,000 or more persons.

holding company, other than those cited above,

In addition, qualifying securities include equity

securities of registered investment companies and

mission. See below.

certain insurance companies that would be

3. A state-chartered bank (other than a bank

required to be registered under Section 12(g)

which is a member of the Federal Reserve

except for the exemptions provided by subsections

System), or a subsidiary thereof, or a state sav-

(g)(2)(B) (investment companies) and (g)(2)(G)

ings association, or a subsidiary thereof, which

(insurance companies), respectively, of Section 12,

is insured by the Federal Deposit Insurance

i.e., when the asset and shareholder criteria of

Corporation, registers with the Federal Deposit

Section 12(g)(1)(A) are met.

Insurance Corporation by either mailing or

C. When to File. Before a transfer agent may perform

submitting an electronic copy of the form

any transfer agent function for a qualifying secu-

(available at ) and attachments to

rity, it must register on Form TA-1 with its current

the secure email address MSG-GSD-Registration@-

ARA. Instructions for amending Form TA-1

fdic.gov. Report the form and attachments in

appear at General Instruction G, on page 3.

Portable Document Format (“PDF”). The

form may be mailed to the following address:

D. How and Where to File. Each registrant must file

Form TA-1 with its own current ARA. The FBRs

Federal Deposit Insurance Corporation

will send copies of the submitted filings to the SEC

Division of Supervision and Consumer

on behalf of their registrants.

Protection

Policy and Program Development Section

A registrant may determine the name and address

ATTN: Registered Transfer Agents

of its ARA from the following:

550- 17th Street, NW

1. A national bank, Federal savings bank, or a

Washington, DC 20429

bank operating under the Code of Law for the

For information contact the FDIC’s Division

District of Columbia, or a subsidiary of any

of Risk Management Supervision, Policy and

such bank, registers with the Comptroller of the

Program Development Section, Registered

Currency at:

Transfer Agents, at telephone number (678)

Office of the Comptroller of the Currency

916–2289.

Asset Management Division

4. All other transfer agents register with the Secu-

Washington, DC 20219

rities and Exchange Commission, using the

For Information: Telephone (202) 649–6360

SEC's electronic version of Form TA-1, located

at:

2. A state-chartered bank which is a member of

formta-1.pdf

the Federal Reserve System, a subsidiary

thereof, a bank holding company, a savings and

Registrants file electronically in EDGAR. Reg-

loan holding company, or a state-chartered

istrants should refer to the EDGAR Filer

TA-1-2

Form TA-1

Instructions

December 2016

Instructions For Preparation Of Transfer Agent Registration And Amendment Form Ta-1 - Federal Deposit Insurance Corporation - 2016 Page 3

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