SEC moves to modernise transfer agent regulations

2nd September, 2026

Aravind Bulusu
Washington DC

The US Securities and Exchange Commission (SEC) has proposed to update the rules and forms adopted in the late 1970s for registered transfer agents to address the expanded range of services performed by financial intermediaries.

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ABN AMRO
Bank of America
CBOE
Citi
Goldman Sachs
DRW Holdings
HSBC
J.P Morgan
Marex
Morgan Stanley
SGX
SocGen
Susquehanna
MUFG Investor Services
TP ICAP
ABN AMRO
Bank of America
CBOE
Citi
Goldman Sachs
DRW Holdings
HSBC
J.P Morgan
Marex
Morgan Stanley
SGX
SocGen
Susquehanna
MUFG Investor Services
TP ICAP
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