Form TA-1 Transfer Agent Registration and Amendment

OFFICIAL USE

Expiration

REG/FILE NUMBER

Agency

OMB No.

Date

FDIC

3064-0026

08-31-2007

FRB

7100-0099

04-30-2007

OCC

1557-0124

11-31-2007

TRANSFER AGENT REGISTRATION AND AMENDMENT FORM FORM TA-1

Please print or type responses. Complete all items for both registrations and amendments. Read all instructions before completing the form. Detailed guidance for each item on Form TA-1 appears in Part II (Special Instructions) of the instructions for Form TA-1.

1.

APPROPRIATE REGULATORY AGENCY

( Check One )

Comptroller of the Currency

Federal Deposit Insurance Corporation

Board of Governors of the Federal Reserve System

2.

FILING STATUS OF THS FORM

( Check One )

Registration

Amendment to Registration

3.

FULL NAME OF REGISTRANT

     

Previous Name of Registrant (if Being Amended for Name Change)

     

4.

FINANCIAL INDUSTRY NUMBER STANDARD (FINS) NUMBER

 

 

 

 

 

 

5.

MAIN OFFICE LOCATION OF REGISTRANT

Number and Street

City

9-Digit ZIP Code

     

6.

MAILING ADDRESS

Number and Street

City

9-Digit ZIP Code

     

     

7.

TELEPHONE NUMBER

Area Code

Number

   

     

     

8.

PRINCIPAL LOCATION (OF THE REGISTRANT) WHERE TRANSFER AGENT PROCESSING ACTIVITIES ARE LOCATED

Number and Street

City

9-Digit ZIP Code

     

9.

LIST ALL OTHER LOCATIONS (OF THE REGISTRANT) WHERE TRANSFER AGENT PROCESSING ACTIVITIES ARE CONDUCTED

Number and Street

City

9-Digit ZIP Code

     

     

     

FDIC Form 6342/01 (11-98)

Word Template

Print Date: 04/10/2002

FORM TA-1 ( Page 2 )

10.

DOES REGISTRANT ACT ( OR WILL IT ACT ) AS A TRANSFER AGENT SOLELY FOR ITS OWN SECURITIES AND/OR SECURITIES OF AN AFFILIATE(S)?

Yes

No

11.

HAS THE REGISTRANT CONTRACTED TO HAVE AN OUTSIDE OGRANIZATION PERFORM TRANSFER AGENT FUNCTIONS IN THE REGISTRANT’S NAME? ( “Private Label” Servicing )

No

ARA-Assigned

If Yes, List the Name(s) of the Private Label Transfer Agents

Registered Transfer Agent Number

     

8

 

-

 

 

 

 

 

     

8

 

-

 

 

 

 

 

     

8

 

-

 

 

 

 

 

( ARA = “Appropriate Regulatory Agency” )

12.

DOES THE REGISTRANT PERFORM ANY PRIVATE LABEL TRANSFER AGENT SERVICES FOR ANOTHER REGISTERED TRANSFER AGENT?

No

ARA-Assigned

If Yes, List the Name(s) of the Named Transfer Agents

Registered Transfer Agent Number

     

8

 

 

 

 

 

 

     

8

 

 

 

 

 

 

     

8

 

 

 

 

 

 

     

8

 

 

 

 

 

 

     

8

 

 

 

 

 

 

( ARA = “Appropriate Regulatory Agency” )

13.

EXECUTION:

The Registrant submitting this Form, and the person executing it, hereby represent that all the information contained herein is true, correct, and complete.

ATTENTION:

Intentional misstatements or omissions of fact constitute Federal criminal violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

14.

FULL NAME AND TITLE OF OFFICIAL RESPONSIBLE FOR FORM

( Print or Type )

[ First Name ] [ Full Middle Name ] [ Last Name ]

[ Title ]

     

     

15.

SIGNATURE OF OFFICIAL RESPONSIBLE FOR FORM

DATE

FDIC Form 6342/01 (11-98) Page 2

Word Template

Print Date: