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Instructions

Manual, which is available at the SEC’s web

Item 1

site ( ) for the instructions on pre-

In determining which regulatory agency Form TA-1 is

paring the form.

filed with, refer to General Instruction D above: How

and Where to File, on page 2.

E. Number of Copies. OCC registrants must file the

original copy of any registration or amendment.

Item 2

The original copy of Form TA-1 must be manually

signed and any additional copies may be photo-

A filing on Form TA-1 is either an initial registration

copies of the signed original copy. All copies must

or an updating amendment. If this is the first time a

be legible, on good quality 8-1/2 x 11 inch white

Form TA-1 has ever been filed with the regulatory

paper. The registrant must keep an exact copy of

agency indicated in Item 1, check the Registration

any filing for its records.

block. If you are changing information on an earlier

Form TA-1 with the same agency, check the Amend-

FRB and FDIC registrants must file a manually

ment block.

signed original copy, and must keep an exact copy

of any filing for its records.

Item 3

The name of the “Registrant” is the current name of

F. Effective Dates. Registration of a transfer agent

the organization, such as a bank, trust company, sav-

becomes effective thirty days after receipt by the

ings bank, bank holding company, or a subsidiary

ARA of the application for registration, unless the

organization. It is never the name of a person.

filing does not comply with applicable require-

ments or the ARA takes affirmative action to

If the amendment reflects a name change of the Regis-

accelerate, deny, or postpone registration in accor-

trant organization, the previous name is also to be

dance with the provisions of Section 17A(c) of

indicated.

the Act.

Item 4

G. Amending Registration. Each registrant must

The term “Financial Industry Number Standard”

amend Form TA-1 within sixty calendar days fol-

(“FINS” number) means a six-digit number assigned

lowing the date on which information reported

by The Depository Trust Company (DTC) upon

therein becomes inaccurate, incomplete or mislead-

request to financial institutions engaged in activities

ing. When amending Form TA-1, the registrant

involving securities. Registrants that do not have a

must identify itself and the filing by answering

FINS number may obtain one by following the steps

Questions 1 through 3. Thereafter, only answer

described on the DTC web site ( ), and

questions that require amending. When adding

clicking on the section entitled “Underwriting.” There

new information, enter that information into the

is a one-page application posted at that location that

appropriate spaces. The form is completed only

can be downloaded and printed.

after signing and completing questions 14–16

(name of person, signature and date).

Item 5

State the full street address of the Registrant's principal

or main office. This should be the headquarters or

Part II. Special Instructions for

principle administrative office of the Registrant, not

necessarily the “official” main office listed by bank

Completing Form TA-1

regulators. A post office box is not acceptable. The full

nine-digit Zip Code (12345-6789) is preferred. Do not

enter the address of any servicer organization.

General

Respond in full to all questions. If the appropriate

Item 6

response to a question is “none,” or “not applicable,”

respond with “None” or “N/A,” respectively. When

If the mailing address is different from that given in

filing an amendment please refer to Section G.

Item 5, state the full address to which the Registrant

TA-1-3

Form TA-1

Instructions

December 2016

Instructions For Preparation Of Transfer Agent Registration And Amendment Form Ta-1 - Federal Deposit Insurance Corporation - 2016 Page 4

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