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Securities and Exchange Commission

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Proposed rule Fri, Sep 4, 2026

Transfer Agent Rules

Securities and Exchange Commission

Federal Register summary The U.S. Securities and Exchange Commission ("SEC" or "Commission") is proposing to adopt new rules, amend existing rules, amend the existing form for registration with the Commission as a transfer agent (Form TA-1) and the existing form for reporting activities of transfer agents (Form TA-2), and rescind an existing rule governing registered transfer agents. The proposals are designed to modernize the rules governing registered transfer agents.

Comments close Tue, Nov 3, 2026 · 1 day left Effective Fri, Sep 4, 2026 Ohio in the full text FederalRegister.gov

Rule Tue, Mar 3, 2026

Holding Foreign Insiders Accountable Act Disclosure

Securities and Exchange Commission

Federal Register summary The Securities and Exchange Commission ("Commission") is adopting final amendments to certain of its rules and forms under the Securities Exchange Act of 1934 ("Exchange Act") to reflect the requirements of the Holding Foreign Insiders Accountable Act ("HFIA Act"). The HFIA Act amended Section 16(a) of the Exchange Act to require directors and officers of a foreign private issuer with a class of equity securities registered under Section 12 of the Exchange Act to provide disclosure of their beneficial ownership and transactions involving the issuer's equity securities. The final amendments…

Effective Wed, Mar 18, 2026 Ohio in the full text FederalRegister.gov