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SEC transfer agent relief extension

Friday, June 26, 2020   (0 Comments)
Posted by: Holly Braly
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STA Members:

 

The Commission has issued an order extending the temporary relief for transfer agents.  See the full order at https://www.sec.gov/rules/exorders/2020/34-89170.pdf

 

To highlight one important aspect of the extension, if a transfer agent has previously notified the Commission in writing about certain relief (such as fingerprinting), that same notice remains valid through the extended deadline.  If, however, the scope or topic of that relief changes, a new notice would be required.


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