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Technology Stocks : Buying IPOs on the open market
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To: ChopChop99 who wrote (193)8/1/1999 11:02:00 AM
From: PartyTime  Read Replies (1) of 5529
 
Another possibility?

Form TA-1:
Transfer Agent Registration
---------

This form is used to apply for registration as a transfer agent or
to amend such registration. It provides information on the
company's activities and operation.

LOCATION:
Filings are available on microfiche. No paper copy is maintained.

RETENTION:
For as long as the broker or dealer is registered plus fifty years.

INTERPRETIVE RESPONSIBILITY:
Division of Market Regulation Office of Securities Processing Regulation

Form TA-W:
Transfer Agent Withdrawal
----------

This form is used to withdraw from registration as a transfer
agent.

LOCATION:
Files are available on microfiche. No paper copy is maintained.

RETENTION:
For as long as the transfer agent is registered plus fifty years.

INTERPRETIVE RESPONSIBILITY:
Division of Market Regulation Office of Securities Processing
Regulation
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