Guidelines

STA GUIDELINES

The STA Guidelines aim to provide a consistent approach among Transfer Agents to common procedures and definitions within securities transfers and related signature guarantees.  STA expects the guidelines will be implemented uniformly and eliminate most variations in transfer requirements, recognizing that departures from these guidelines may occur occasionally based on determinations by individual transfer agents.

sta_guidelines_1.30.20.pdf


CONVERSION GUIDELINES

Conversion Guidelines were developed by STA to provide guidance on the data prior transfer agents need to supply to the new transfer agent to facilitate seamless service of the converted accounts. The guidelines include a list of data elements needed and a list of the activities required to de-convert a company.

conversion_guidelines.pdf


PROFILE PROCESSING GUIDELINES FROM THE DRS GUIDELINES COMMITTEE

The DRS Guidelines document offers a “how to” of preferred methods of processing DRS transactions for the benefit of the transfer agent/issuer, reorg agent and broker/dealer community to reduce potential processing inconsistencies. For certain scenarios, an alternative method is provided simply as a work around for the preferred method when system upgrades have not been completed or other incompatibilities exist. The DRS Guidelines Committee has also recommended various “long-term” solutions contingent on proposed system changes.

drs_processing_guidelines.pdf

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