Transfer Agent Rules

Document Headings Document headings vary by document type but may contain the following: the agency or agencies that issued and signed a document the number of the CFR title and the number of each part the document amends, proposes to amend, or is directly related to the agency docket number / agency internal file number the RIN which identifies each regulatory action listed in the Unified Agenda of Federal Regulatory and Deregulatory Actions See the Document Drafting Handbook for more details. Securities and Exchange Commission 17 CFR Parts 240 and 249b [Release No. 34-106246; File No. S7-2026-30] RIN 3235-AL55 ( printed page 56946) AGENCY: Securities and Exchange Commission. ACTION: Proposed rule. SUMMARY: 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. DATES: This release was published in the Federal Register on September 4, 2026. Comments should be received on or before November 3, 2026. ADDRESSES: Comments may be submitted by any of the following methods: Electronic Comments Use the Commission's internet comment form ( https://www.sec.gov/​comments/​s7-2026-30/​transfer-agent-rules ); or Send an email to rule-comments@sec.gov . Please include File Number S7-2026-30 on the subject line. Paper Comments Send paper comments to Vanessa A. Countryman, Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090. All submissions should refer to File Number S7-2026-30. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more eff…