Transfer Agent Data Sets

The Transfer Agent Data Sets below provide the structured data from transfer agent registration and annual activities reporting filed with the Commission.  The data is extracted from the eXtensible Markup Language (XML) submissions to the Commission in Form TA-1, Form TA-2, and Form TA-W.  The data is presented without change from the “as-filed” submissions.  The data is presented in a flattened format to provide the public with readily available data about transfer agents and their activities.

The data sets will be updated quarterly.  Data contained in documents filed after 5:30PM Eastern on the last business day of a quarter will be included in the subsequent quarterly posting.

The Guide to Transfer Agent Data Sets (PDF, 470 kb) provides documentation of scope, organization, file formats and table definitions.

Find out more about Transfer Agents.

DISCLAIMER: The Transfer Agent Data Sets contain information derived from structured data filed with the Commission by individual registrants as well as Commission-generated filing identifiers.  Because the data sets are derived from information provided by individual registrants, we cannot guarantee the accuracy of the data sets.  In addition, it is possible inaccuracies or other errors were introduced into the data sets during the process of extracting the data and compiling the data sets.  Finally, the data sets do not reflect all available information, including certain metadata associated with Commission filings.  The data sets are intended to assist the public in analyzing data contained in Commission filings; however, they are not a substitute for such filings.  Investors should review the full Commission filings before making any investment decision.