Changing the registration on your security involves a transfer of ownership. To effectively change the registration, there are several pieces of information that must be provided to the transfer agent. To learn more about specific requirements for a transfer, click here.
STC accepts payment via credit card, wire, ACH or check. Please contact our Accounting Team (accounting@stctransfer.com) with any questions.
The 4 main financial statements that must be tagged are: The Balance Sheet, the Statement of Operations, the Statement of Cash Flows, and the Stockholder’s Equity. All pertinent financial information within your Notes to Financials will also need to be tagged.
No. Only files that contain financial reporting need to be tagged. This includes a form 10-K, 10-Q, 40-F, and 20-F, with the last two only needed XBRL tagging if they are being used as annual reports.
The SEC requires your company to file inline XBRL starting June 15, 2019 for large accelerated filers, June 15, 2020 for accelerated filers, and June 15, 2021 for all other filers.
The tagging process depends on how complex your financial statements and notes to financials are. To learn more, visit our EDGAR page or please reach out to our EDGAR Department at 469-633-0101.
STC can assist you in acquiring a Non-Objecting Beneficial Owner (“NOBO”) List that will show the names and addresses for all Non-Objecting Beneficial Owners. Because of SEC proxy rules, certain holders may object to their identity and holdings being shared with the issuer. These holders are called objecting beneficial owners or OBOs. To learn more, contact us.
If you are considering a name change or stock split, you should reach out to our issuer services department who can assist you with a detailed explanation tailored to the corporate action you are considering. In general, your company will have to notify the relevant stock exchange your securities are listed on or if you trade over the counter, you must notify FINRA. Our issuer services department can assist you and your counsel with making the required notifications through the exchange or through FINRA’s issuer notification portal. Once you have notified the relevant regulator, FINRA or the exchange will reach out to STC to request certain information and confirmations which must be provided by your transfer agent. Once the exchange or FINRA announces the corporate action and its effective date, STC will process the corporate action on your behalf. If you have additional questions about the process, reach out to our Issuer Services Department at 469-633-0101 or contact us.
If a dividend check is lost, you may request a replacement check by contacting us. Securities Transfer Corporation will place a stop payment on the original check and issue a replacement. Please allow 10 days from the dividend payment date before requesting a replacement check.
A Fund Administrator supports all recordkeeping aspects throughout the lifespan of your fund
from the initial capital raise through its maturity. Some of the services STC offers include the
following:
For more information on Fund Administration, please click here.
Securities Transfer Corporation combines personalized service with cutting-edge technology to deliver class leading transfer agent and fund administration solutions at a cost that makes sense.
Securities Transfer Corporation
2901 N Dallas Parkway
Suite 380
Plano, Texas 75093
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