Form TA-W Filings

What Is SEC Form TA-W?

SEC Form TA-W is an important filing used to notify the Securities and Exchange Commission (SEC) that a registered transfer agent is withdrawing from registration pursuant to Section 17A of the Securities Exchange Act of 1934 and the rules thereunder. It is filed when a transfer agent ceases performing transfer agent functions or otherwise requests withdrawal from SEC registration.

Form TA-W supports regulatory oversight by collecting details on the transfer agent’s cessation of activities, the handling and location of required books and records, and any successor arrangements. For SEC registrants, the form is filed electronically through EDGAR, and filers commonly reference the SEC’s official Form TA-W to confirm required disclosures.

Key elements typically found in SEC Form TA-W include:

• Registrant identification information (including CIK and transfer agent file number)
• Reasons for ceasing transfer agent functions or requesting withdrawal
• Date the transfer agent last performed activities requiring registration
• Information about where required books and records will be maintained
• Disclosure of legal proceedings, unsatisfied judgments, or liens (as applicable)
• Information about any successor transfer agent arrangements (if applicable)

SEC Form TA-W Filing Deadlines

SEC Form TA-W is filed on an event-driven basis when a transfer agent seeks to withdraw from SEC registration. The timeline below reflects the standard effectiveness framework for withdrawal filings.

Key Things to Know About Form TA-W Filing Rules

• Eligibility and Filing Method: Form TA-W is used by transfer agents registered with the SEC to withdraw from SEC registration, while other registrants withdraw through their appropriate regulatory authority following that authority’s instructions.
• Effective Date Is Typically 60 Days: A notice of withdrawal generally becomes effective on the sixtieth day after filing unless the SEC determines a shorter period.
• Books and Records Must Be Addressed: Filers must identify how required transfer agent books and records will be maintained and where they will be kept after ceasing transfer agent functions.
• Ceasing Transfer Agent Functions Has Ongoing Responsibilities: Transfer agents may have continuing obligations regarding records and transition matters when they cease performing transfer agent functions under applicable SEC rules.
• Successor Arrangements May Be Disclosed: If transfer agent responsibilities are being transferred to another organization, Form TA-W can require information about the successor transfer agent and related transition details.

To track transfer agent withdrawals under Section 17A of the Securities Exchange Act of 1934, our Real-time SEC Filing Alerts help you monitor filings such as Form TA‑W, Form TA‑1, and Form TA‑2, ensuring transparency in securities recordkeeping and compliance reporting