Data / Federal rules / 2026-18190
Transfer Agent Rules
The Securities and Exchange Commission published this proposed rule in the Federal Register on September 4, 2026. It took effect on September 4, 2026. Comments are due by November 3, 2026.
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What the agency says
The U.S. Securities and Exchange Commission ("SEC" or "Commission") is proposing to adopt new rules, amend existing rules, amend the existing form for registration with the Commission as a transfer agent (Form TA-1) and the existing form for reporting activities of transfer agents (Form TA-2), and rescind an existing rule governing registered transfer agents. The proposals are designed to modernize the rules governing registered transfer agents.
Key facts
- Document number
- 2026-18190
- Type
- Proposed rule
- Action
- Proposed rule
- Agency
- Securities and Exchange Commission
- Published
- September 4, 2026
- Takes effect
- September 4, 2026
- Comments due
- November 3, 2026
- Dates
- This release was published in the Federal Register on September 4, 2026. Comments should be received on or before November 3, 2026.
- Docket
- Release No. 34-106246; File No. S7-2026-30
- Regulation ID (RIN)
- 3235-AL55
- Code of Federal Regulations
- 17 CFR 240; 17 CFR 249
- Topics
- Reporting and recordkeeping requirements; Securities
- Significant
- Yes, under Executive Order 12866
- Pages
- 116
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Everything from the Securities and Exchange Commission · Rules on reporting and recordkeeping requirements · Rules on securities · Published in September 2026
Read from the Federal Register API, last updated 2026-10-23. The document on federalregister.gov is the official record; dates and dockets can change through later corrections. Free to reuse with credit to SpecStream under CC BY 4.0.