Transfer agents work for the security issuer to record changes of ownership, maintain the issuer's security holder records, cancel and issue certificates, and distribute dividends.  Transfer agents are usually banks or trust companies, but sometimes a company acts as its own transfer agent.  Transfer agents are required to be registered with the SEC, or if the transfer agent is a bank, with a bank regulatory agency.

Most issuers identify their transfer agent on their company website under the “Investor Relations” tab.  You may need to contact the company directly to obtain the transfer agent’s name and contact information.

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