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In fact, in October 2011, the Commission hosted a public Roundtable on the Execution, Clearance, and Settlement of Microcap Securities, which identified a number of issues related to the transfer agents' roles in the issuance and transfer of these microcap securities.[10] Among other issues, the Roundtable highlighted the lack of Commission rules addressing appropriate levels of due diligence by transfer agents, the lack of guidance for removing restrictions from securities, and the need for more disclosure to the market of certain information that would inform investors about the appropriateness of transacting in microcap securities.[11] 4) There can be no doubt that transfer agents are gatekeepers.After all, they keep track of the ownership of corporate securities.[12] As I mentioned earlier, transfer agents have a key role in removing restrictions (or legends) that would otherwise restrict the transfer or sale of securities.Regulation SCI will ensure that our securities markets are more reliable and resilient, and less vulnerable to natural disasters and cyber-attacks.

10) I have found countless examples of problems with the Forms TA-1 filed by transfer agents.In determining what steps may be necessary, we should be guided by the need for investor protection and market efficiency.8) Transfer agents have no cybersecurity rules, and no disaster and business continuity requirements. What would happen if a hacking or natural disaster struck these firms?Providing transfer agents with guidance to help them identify fraudulent distributions of unregistered securities will greatly advance the Commission’s goal of protecting investors.In addition, transfer agents’ role as gatekeepers in our capital markets provides them with an early opportunity to identify and report possible fraudulent offerings.[18] 6) Transfer agents, at times, arguably could have major conflicts of interests.

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