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STA guidance during COVID-19 business continuity planning

As our industry plans and implements interim solutions during the effort to contain the novel coronavirus pandemic, the STA Board of Directors would like to assure STA members that we are meeting regularly with industry and regulatory leaders to monitor the changing landscape. As you enact your own planning, we recommend all transfer agents remain vigilant regarding risk management and fraud prevention. The risk of fraud increases substantially during periods of turmoil and ambiguity such as we are experiencing. As an industry, we should not be precipitous in relaxing standards for Medallion guarantees and documentation at a time when increased diligence becomes even more crucial for the protection of our clients and their shareholders. In spite of the challenges posed by a partially or fully remote workforce and diminished physical facilities and resources, we are not at a point where a lapse in standards can be justified. STA will continue to monitor status and communicate with its members as additional clarity unfolds.

STA letter to NAUPA requesting reporting deadline extensions - March 2020

DTCC Coronavirus Disease (COVID-19) Client FAQ - March 2020

STA letter to Wyoming re DB 398 - January 2020

STA letter to SEC regarding Proxy Concept Release - December 2019

STA letter to SEC regarding Harmonization - September 2019

STA letter regarding Delaware statutory reporting deadlines - May 2019

Joint Trade Letter to Minnesota re: HF 2208 - March 2019

STA letter to the Senate Banking Committee regarding Data Privacy - March 2019

STA/SSA Letter to Arkansas re HB1427 - February 2019

STA/SSA Letter to Washington re RUUPA - January 2019

STA/SSA letter to Council of District of Columbia - November 2018

STA letter re Over-Voting - October 2018

STA letter to SEC re Proxy Process - September 2018

Holders Coalition letter re IRS Rev Rule 2018-17 - September 2018

STA letter re LA HB 851 - April 2018

STA letter to Illinois - January 2018

SEC Announcement re cyber Security Initiative - September 2017

STA/SSA Comments re HB 2603 Concerns - May 2017

STA/SSA Comments to Delaware re Unclaimed Property - May 2017

Final Rule re T+2, 34-80295 - March 2017

SEC Final Rule on T+2 - March 2017

Letter re Utah Senate Bill 175 - February 2017

STA/SSA letter to Arkansas - February 2017

SEC Approval of rule Filing re Chills and Global Locks - December 2016

STA Comment Letter on SEC T+2 Rule Amendment - November 2016

STA Comment Letter re SR-DTC-2016-13 - October 2016

SEC Proposed Rule Amendment to Shorten the Settlement Cycle - September 2016

Changes to Unclaimed Property Acts - September 2016

SEC Order to Institute Proceedings re DTC Rule Filing re Chills and Global Locks - September 2016

Further STA Comment on SR-DTC-2016-003 - August 2016

STA Comment Letter re SR-DTC-2016-003 - June 2016

DTCC Proposed Rule re Chills and Global Locks - June 2016

SEC Request for Comment on Rule 17Ad-10 - May 2016

Customer Due Diligence Requirements for Financial Institutions - May 2016

STA Comment Letter on Concept Release File S7-25-15 - April 2016

SEC Notice Extending Comment Period for Transfer Agent Rules - February 2016

STA Letter to Delaware re Clarifying Position on Inactivity - February 2016

STA Letter Requesting Extension of Comment Period on File 34-7643-S-27-15: - January 2016

DTCC Important Notice re Corporate Action Fees - December 2015

SEC Concept Release re Transfer Agent Rules - December 2015

SEC Regulation Crowdfunding - November 2015

STA/SSA Amicus Curiae Brief - September 2015

ULC Holders Coalition Recommendation - May 2015

ULC Holders Coalition Letter - May 2015

DTC Rule Requiring Participation in BCP testing - May 2015

SEC Final Rules Amending Regulation A - March 2015

STA Draft Language for Uniform Law Commission - January 2015

STA Letter to Uniform Law Commission - November 2014

STA Report on Industry Efforts to Improve the U.S. Proxy Voting System - September 2014

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