When to File. Ahead of a transfer agent might carry out any transfer agent purpose for the qualifying security, it have to apply for registration on Form TA-1 with its ARA and its registration must turn into powerful.
Reporting and Recordkeeping: A registered transfer agent need to comply with Part 17A of your Act and with the varied reporting, recordkeeping, and also other needs in The principles promulgated underneath Segment 17A.
Lincoln Countrywide Existence Insurance Company, August 22, 2003 (Division wouldn't advocate enforcement action if Lincoln conducts particular recordkeeping actions for variable annuity and variable lifetime insurance policies contracts subsequently acquired by, but not originally issued by, Lincoln and relies about the insurance company exclusion within the definition of transfer agent in Part 3(a)(twenty five) of the Trade Act.)
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