Corporate Trust covers the business activities of banks that act in a fiduciary capacity for investors in a particular security. Any national bank or federal savings association that performs transfer agent functions for securities registered under Section 12 of the Exchange Act, must register with the OCC.
Access the TA-1, Transfer Agent Registration and Amendment Form, to register as a transfer agent or amend existing registration information.
OCC Bulletin 2007-6, “Registered Transfer Agents: Transfer Agent Registration, Annual Reporting, and Withdrawal from Registration” (January 25, 2007)
OCC Guidance Letter “Owner Trustee Fiduciary Accounts: Reporting on Schedule RC-T” (June 20, 2007)
|06/26/2007||OCC 2007-21,||Supervision of National Trust Banks: Revised Guidance: Capital and Liquidity|