Form TA-1/A Filings

What Is SEC Form TA-1/A?

SEC Form TA-1/A is an amended filing required under Section 17A of the Securities Exchange Act of 1934. It is used by transfer agents to revise, update, or correct information previously submitted on SEC Form TA-1.

This form is typically filed when a transfer agent has changes to its identifying information, business addresses, regulatory status, control persons, affiliations, operational details, or other reportable items that were included in the original registration filing. Once Form TA-1/A is submitted, it updates the transfer agent’s registration record on file with the applicable regulatory authority.

Form TA-1/A supports transparency by ensuring that regulators and market participants have current information about registered transfer agents. It does not operate as a standalone registration application but rather as a mechanism to maintain accurate, up-to-date registration disclosures through amendments as needed.

Key elements typically found in SEC Form TA-1/A include:

• Name of the registrant and identifying information
• Business and mailing addresses and contact details
• Appropriate regulatory agency information, if applicable
• Updated details about transfer agent activities and service scope
• Ownership, control, and affiliate information updates
• Corrections or revisions to prior responses and disclosures

SEC Form TA-1/A Filing Deadlines

SEC Form TA-1/A does not have a fixed annual or quarterly deadline. It is an event-driven filing made when a registrant needs to update or correct previously filed Form TA-1 information. These timing considerations are important to ensure registration records remain current and accurate.

Key Things to Know About Form TA-1/A Filing Rules

• Amendment-Based Filing: Form TA-1/A is used to amend a previously filed Form TA-1 and is submitted when updates or corrections are required.
• Maintains Current Registration Information: Transfer agents use TA-1/A to keep registration disclosures accurate, including changes to addresses, control persons, affiliates, or operational details.
• Interagency Registration Context: Form TA-1 is a uniform interagency form used for registration and amendments with the SEC or other appropriate regulatory agencies, depending on the registrant’s status.
• Filing Is Event-Driven: Because there is no fixed deadline, registrants file TA-1/A based on changes in reportable information rather than on a periodic schedule.
• Public Record Considerations: Information filed on TA-1/A becomes part of the registrant’s publicly available filing history and may be reviewed by regulators and market participants.

To track transfer agent registration amendments under Section 17A of the Securities Exchange Act of 1934, our SEC recent filings help you monitor filings such as Form TA‑1/A, Form TA‑1, Form TA‑2, and Form TA‑W, ensuring transparency in securities recordkeeping and compliance reporting