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Section 17A(d)(1) of the 1934 Act requires registered transfer agents to comply with all rules and regulations established by either the SEC or the ARA.

Most issuers identify their transfer agent on their company website under the Investor Relations tab. You may need to contact the company directly to obtain the transfer agentʼs name and contact information.

(25) The term transfer agent means any person who engages on behalf of an issuer of securities or on behalf of itself as an issuer of securities in (A) countersigning such securities upon issuance; (B) monitoring the issuance of such securities with a view to preventing unauthorized issuance, a function commonly

Transfer agents generally act as an issuerʼs paying agent for dividends. The issuer provides all dividend funds to the transfer agent for disbursing.

What are Top 10 Highest Paying Cities for Transfer Agent Jobs CityAnnual SalaryMonthly Pay San Mateo, CA $54,213 $4,517 San Francisco, CA $54,117 $4,509 Sunnyvale, CA $53,647 $4,470 Santa Clara, CA $53,405 $4,4506 more rows

Transfer agents work for the security issuer to record changes of ownership, maintain the issuerʼs security holder records, cancel and issue certificates, and distribute dividends. Transfer agents are usually banks or trust companies, but sometimes a company acts as its own transfer agent.

Transfer agents keep records of who owns a companyʼs stocks and bonds and how those stocks and bonds are heldwhether by the owner in certificate form, by the company in book-entry form, or by the investorʼs brokerage firm in street name. They also keep records of how many shares or bonds each investor owns.

Generally, transfer agents maintain a record of ownership, including contact information, of an issuerʼs registered shareholders while brokers act as a custodian and maintain their own records of who the beneficial shareholders are of the shares registered under their street name.