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Instructions

wants official mail sent. A post office box is acceptable.

known as a “private label” transfer agent. Refer to the

The full nine-digit Zip Code (12345-6789) is preferred.

definition of a transfer agent in Item A.7 on page 1for

examples of transfer agent functions.

Item 7

Any private label transfer agent(s) used by the Regis-

trant are to be listed in this item. Enter the name of the

Provide a telephone number for the appropriate indi-

private label servicer and its ARA-assigned Registered

vidual or department at the Registrant to whom ques-

Transfer Agent Number.

tions may be addressed.

Do not list any EDP servicers (such as SEI or Sun-

Gard), even if they maintain records for transfer agent

Item 8

activities.

Indicate the principal transfer agent location of the

Registrant where transfer agent processing takes place,

If additional space is needed to answer this question,

if different from Item 5. A post office box is not accept-

photocopy the appropriate page of a blank Form

able. The full nine-digit Zip Code (12345-6789) is pre-

TA-1, and continue such answers thereon.

ferred. Do not enter the address of any servicer

organization.

Item 12

If the Registrant performs any “private label” transfer

Item 9

agent servicing for another Registered Transfer Agent

List any other locations of the Registrant where trans-

(the “Named” Transfer Agent), enter the name of the

fer agent processing activities take place, if different

other Registered Transfer Agent and its ARA-assigned

from Items 5 and 8. A post office box number is not

Transfer Agent Number. For an explanation of the

acceptable. Do not enter the address of any servicer

term “private label,” refer to Item 11.

organization.

If additional space is needed to answer this question,

photocopy the appropriate page of a blank Form

Item 10

TA-1, and continue such answers thereon.

The answer to this question should reflect all securities

transferred by the Registrant organization, in all Divi-

Items 13 through 16

sions and/or locations of the Registrant, including any

The name of the individual signing Form TA-1 shall be

Trust Department. If a Registrant transfers any securi-

stated in full (i.e., first name, middle name, and last

ties other than its own or those of an affiliate, the ques-

name). Initials are not acceptable, unless they are part

tion should be answered “No.”

of the individual's legal name.

If the Registrant transfers any mutual funds, including

Execution of Form TA-1 and Amendments Thereto.

“proprietary” mutual funds affiliated with a bank or its

Any officer or director of the Registrant may execute

parent company, Item 10 is to be answered “No.”

Form TA-1 and any amendments thereto at Item 15 on

behalf of the Registrant.

For purposes of this form, a transfer agent is an “affili-

ate” of, or “affiliated” with, a person if the transfer

agent, directly or indirectly through one or more inter-

Part III. Notice

mediaries, controls or is controlled by, or is under com-

mon control with, that person.

Under Sections 17(a)(3), 17A(c), and 23(a) of the Act

and the rules and regulations thereunder, the ARA’s

Item 11

are authorized to solicit from applicants for registra-

If the Registrant contracts with an outside service

tion as a transfer agent and from registered transfer

company to perform the functions of a transfer agent

agents the information required to be supplied by

in the Registrant's name, the outside service company

Form TA-1. Disclosure to the ARA of the information

must also be a Registered Transfer Agent. In this

requested in Form TA-1 is a prerequisite to the pro-

arrangement, the outside service company is often

cessing of Form TA-1.

TA-1-4

Form TA-1

Instructions

December 2016

Instructions For Preparation Of Transfer Agent Registration And Amendment Form Ta-1 - Federal Deposit Insurance Corporation - 2016 Page 5

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