Amazon Natural (AZNT) Message Board

STOCKTALK

We've detected that you're using an ad content blocking browser plug-in or feature. Ads provide a critical source of revenue to the continued operation of Silicon Investor. We ask that you disable ad blocking while on Silicon Investor in the best interests of our community. If you are not using an ad blocker but are still receiving this message, make sure your browser's tracking protection is set to the 'standard' level.

Microcap & Penny Stocks : Amazon Natural (AZNT)

Public Reply Prvt Reply Mark as Last Read File

Previous 10 Next 10 Previous Next

To: Dean Dumont who wrote (8430)	10/6/1998 11:10:00 PM
From: Arcane Lore	Read Replies (1) of 26163

S.E.C. rule 17A is only reportable if you are a registered transfer agent and a representative of a company. If a company becomes self transfer, the way things use to be in the old days, they are allowed to clear up to 500 certificates prior to executing 17A policy. ... The only reference that I can find to lessened reporting requirements for transfer agents when there are fewer than 500 items is at the end of this post. Note that it pertains to annual reporting, not initial registration of the TA. Further note that even in this case the TA still needs to file the annual report, however, less information is required. The material quoted is from the Securities Lawyers Deskbook: law.uc.edu. The Rule 17A and Section 17A links that concern transfer agents appear to be: law.uc.edu law.uc.edu law.uc.edu However, perhaps, I missed the section which contains the exemption you specified. Could you please provide a link (either to the appropriate page of the Securities Law Deskbook or anywhere else outside SI) to the rule you referenced in #reply-5934565 ? TIA. Rule 17Ac2-2 -- Annual Reporting Requirement for Registered Transfer Agents -------------------------------------------------------------------------------- Every registered transfer agent shall file and annual report on Form TA-2 in accordance with the instructions contained therein by August 31 of each calendar year. A registered transfer agent that received fewer than 500 items for transfer and fewer than 500 items for processing in the six months ending June 30 of the calendar year for which the form is being filed, and did not maintain master security holder files for more than 1000 individual security holder accounts as of June 30 of the calendar year for which the form is being filed, is only required to complete Items one through four and the execution section of Form TA-2. A registered transfer agent is not required to file Form TA-2 if it engages a service company to perform all of its transfer and processing functions. -------------------------------------------------------------------------------- law.uc.edu

Report TOU Violation

Share This Post

Public Reply Prvt Reply Mark as Last Read File

Previous 10 Next 10 Previous Next