Get Transfer Agent Verification Form - Finra

The Transfer Agent Verification Form - Finra is a crucial document that certifies to FINRA the notification of corporate actions for OTC issuers. Filling out this form accurately ensures effective communication and compliance with regulatory obligations.

Follow the steps to complete the form successfully

1. Click ‘Get Form’ button to obtain the form and open it in your preferred editor.
2. Fill out the required fields for the transfer agent section, including agency name, address, and contact information. Ensure you provide accurate details as required to avoid any delays.
3. Specify whether the transfer agency is SEC registered. If not, provide the registration details requested.
4. In the issuer section, detail where the agent received the notification from and include the OTC issuer that requires the change. Complete all mandatory fields.
5. Input the company name, address, and relevant incorporation details in the legal counsel section. Make sure to include the state of incorporation if applicable.
6. Complete the appointment verification section with the date of appointment as transfer agent and necessary prior agent details if applicable.
7. Fill out the transaction options that apply, including details related to stock splits, dividends, name changes, or other corporate actions. Each option may require specific information related to the current and new statuses.
8. Review all entered information for accuracy. Make sure all required fields are completed appropriately before moving forward.
9. At the end, save your changes. You may choose to download, print, or share the completed form based on your needs.

Complete the Transfer Agent Verification Form online today to ensure your corporate actions are properly documented.