SEC to Cancel Registrations of Listed Transfer Agents
The listed transfer agents face cancellation of their SEC registrations after Dec. 1, 2026 unless they contest within 30 days.
The Securities and Exchange Commission issued a Notice of Intention to Cancel Registrations of Certain Transfer Agents on October 19, 2026 (FR Doc No. 2026-21577; Release No. 34-106697). The notice states the Commission will, pursuant to Section 17A(c)(4)(B) of the Securities Exchange Act of 1934, issue an order cancelling the registrations of the transfer agents whose names appear in the attached Appendix.
The order may be issued at any time after December 1, 2026. The Commission has determined, based on its efforts to locate each entity, that each listed transfer agent is no longer in existence or has ceased doing business as a transfer agent. The Appendix lists each transfer agent by name and its SEC file number.
Any representative of a listed transfer agent who believes the registration should not be cancelled must notify the Commission by email within 30 days after the notice date. Email notifications must be sent to the address provided in the notice with the subject line "Notice of Intention to Cancel Transfer Agent Registration." Contact persons are Kevin Schopp, Tina Barry (Senior Special Counsels) and Bryant Eng (Special Counsel), Division of Trading and Markets, at (202) 551-5500.
The Commission's authority for this action is delegated under 17 CFR 200.30-3(a)(22). The notice appears in the Federal Register, Volume 91, Number 203, pages 66767-66768.
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