Form TA-1 Uniform Form For Registration As Transfer Agent And For Amendment (SEC1528) {TA-1} | Pdf Fpdf Docx | Official Federal Forms

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Form TA-1 Uniform Form For Registration As Transfer Agent And For Amendment (SEC1528) {TA-1} | Pdf Fpdf Docx | Official Federal Forms

Form TA-1 Uniform Form For Registration As Transfer Agent And For Amendment (SEC1528) {TA-1}

This is a Official Federal Forms form that can be used for Securities And Exchange Commission.

Alternate TextLast updated: 9/14/2018

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OMB Approval UNITED STATES SECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549 FORM TA-1 UNIFORM FORM FOR REGISTRATION AS A TRANSFER AGENT AND FOR AMENDMENT002 TO REGISTRATION PURSUANT TO SECTION 17A OF THE002 SECURITIES EXCHANGE ACT OF 1934002 Form TA-1 is to be used to register or amend registration as a transfer agent with the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation or the Securities GENERAL:003 and Exchange Commission pursuant to Section 17A of the Securities Exchange Act of 1934. Read all instructions before completing this form. Please print or type all responses. !Check to show blank form for printing 1(a). Filer CIK: 1(b). Filer CCC: 1(c). Live/Test " Live " Test Filing? 1(d). Return Copy # Yes 1(e). Is this filing an amendment to a # Yes previous filing? 1(e)(i). Fi le Number: 084 - 1(f)(i). Contact Name: 1(f)(ii). Contact Phone 1(f)(iii). Contact E - mail Number: Address: 1(g). Notification E - mail Address: SEC 1528 (12-06) Persons who respond to the collection of information contained inthis form are not required to respond unless the form displays a currently valid OMB control number. American LegalNet, Inc. www.FormsWorkFlow.com 3(d)(i). Address 1 3(d)(ii).Address 2 3(d)(iii).City 2. Appropriate regulatory agency (check one): $ Securities and Exchange Commission " Board of Governors of the Federal Reserve System " Federal Deposit Insurance Corporation " Comptroller of the Currency " Office of Thrift Supervision 3(a). Full Name of Registrant: 3(a)(i). Previous name, if being amended: 3(b). Financial Industry Number Standard (FINS) number:002 3(c). Address of principal office where transfer agent activities are, or will be, 002performed:002 3(c)(i). Address 1002 3(c)(ii). Address 2 3(c)(iii). City 3(c)(iv). State or Country 3(c)(v). Postal Code 3(d). Is mailing address different from response to Question Yes No 3(c)? " " If "yes," provide address(es): American LegalNet, Inc. www.FormsWorkFlow.com 3(d)(iv). State or Country 3(d)(v). Postal Code 3(e). Telephone Number (Include Area Code) 4. Does registrant conduct, or will it conduct, transfer agent Yes No activities at a ny location other than that given in Q uestion 3 ( c ) above? " " If "yes," provide address(es): 4(a)(i). Address # 1 4(a)(ii). Address # 2 4(a)(iii). City 4(a)(iv). State or Country 4(a)(v). Postal Code 5. Does registrant act, or w ill it act, as a transfer agent solely Yes No for its own securities and/or securities of an affiliate(s)? " " 6. Has registrant, as a named transfer agent, engaged, or Yes N o will it engage, a service company to perform any transfer " " agent functions? If "yes," provide the name(s) and address(es) of all service companies engaged, or that will be engaged, by the registrant to perform its transfer agent functions: 6(a). Name: 6(b). File - Number: 6(c)(i). Address 1 6(c)(ii). Addr ess 2 American LegalNet, Inc. www.FormsWorkFlow.com 6(c)(iii). City 6(c)(iv). State or Country 6(c)(v). Postal Code 7. Has registrant been engaged, or will it be engaged, as a Yes No service company by a named transfer agent to perform " " transfer agent functions? If "yes," provide the name(s) and File Number(s) of the named transfer agent(s) 002for which the registrant has been engaged, or will be engaged, as a service 002company to perform transfer agent functions:002 7(a). Name:002 7(b). File - Number: 7(c)(i). Address 1 7(c)(ii). Address 2 7(c)(iii). City 7(c)(iv). State or Country 7(c)(v). Postal Code Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable." " Corporation002 " Partnership002 8. Is " Sole Proprietorship registrant a: " Other " Not Applicable Section for Initial Registration and for Amendments Reporting Additional Persons. (Corporation or Partnership) 8(a)(i). Full Name American LegalNet, Inc. www.FormsWorkFlow.com 8(a)(ii). Relationship Start Date 8(a)(iii). Title or Status " NA - 0 to 5% " A - 5% up to 10% " B - 10% up to 25% 8(a)(iv). Ownership Code " C - 25% up to 50% " D - 50% up to 75% " E - 75% up to 100% 8(a)(v). Control Person # 8(a)(vi). Relationship End Date Section for Initial Registration and for Amendments Reporting Additional Persons. (Sole Proprietorship or Other) 8(a)(i). Full Name 8(a)(ii). Re lationship Start Date 8(a)(iii). Title or Status 8(a)(iv). Description of Authority 8(a)(v). Relationship End Date 9. Does any person or entity not named in the answer to Question 8: 9(a). Directly or indirectly, through agreement or otherwis e Yes No exercise or have the power to exercise control over the " " management or policies of applicant; or . . . . 9(a)(i). Exact name of each person or entity 9(a)(ii). Description of the Agreement or other basis 9(b). Wholly or partially finance the business of applicant, directly Yes No or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit " " extended in the ordinary course of business by suppliers, banks and others ? . . . . . . . . . . . . . . . . . . . . . . . . . . 9(b)(i). Exact name of each person or entity American LegalNet, Inc. www.FormsWorkFlow.com 9(b)( ii). Description of the Agreement or other basis 10. Applicant and Control Affiliate Disciplinary History: The following definitions apply for purposes of answering this Question 10 - An individual or firm that directly or indir ectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of Control affiliate003 this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of si milar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority. - Pertaining to securities, commodities, banking, insurance, Investment or or real estate (including, but not limited t o, acting as or investment being associated with a broker - dealer, investment company, related investment adviser, futures sponsor, bank, or savings and loan association). - Doing an act of aiding, abetting, counseling, commanding, Involved003 inducing, conspiring with or faili ng reasonably to supervise another in doing an act. 10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contender ("no contest") to: 10(a)(1). A felony or misdemeanor involving: investments or an Yes No investment - related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting or " " extortion? . . . . . . . . . . . . 10(a)(1)(i). The individuals named in the Action 10(a)(1)(iii). Date of 10(a)(1)(ii). Title of Action Action 10(a)(1)(iv). The Court or body taking the Action and its location 10(a)(1)(v). Description of the Action 10(a)(1)(vi). The disposition of the proceeding American LegalNet, Inc. www.FormsWorkFlow.com 10(a)(2). Any other felony? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10(a)(2)(i). The individuals named in the Action The disposition of the proceeding Yes " No " 10(a)(2)(ii). Title of Action 10(b)(2)(vi). 10(a)(2)(iii). Date of Action 10(a)(2)(iv). The Court or body taking the Action and its location 10(a)(2)(v). Description of the Action 10(a)(2)(vi). The disposition of the proceeding 10(b). Has any court in the past ten years: 10(b)(1). Enjoined the applicant or a control a ffiliate in connection with any investment - related activity? . . . . . . . . . . . . . . . . . . . . . 10(b)(1)(i). The individuals named in the Action Yes " No " 10(b)(1)(ii). Title of Action 10(b)(1)(iii). Date of Action 10(b)(1)(iv). The Court or body taking the Action and its location 10(b)(1)(v). Description of the Action 10(b)(1) (vi). The di sposition of the proceeding 10(b)(2). Found that the applicant or a control affiliate was involved in a violation of investment - related statutes or regulations? . . . . . 10(

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