Which item is listed as part of the 1934 Act registration application process?

• A. Transfer agents
• B. Marketing plan
• C. Customer list
• D. Tax returns

Answer: (A)

When applying for registration under the Securities Exchange Act of 1934, the SEC requires disclosure of entities that will handle critical securities functions for the firm. Transfer agents are included because they manage the actual transfer and issuance of securities, and the SEC must know who will perform that role and where they are located. Transfer agents are themselves registered with the SEC, and listing their name and address on the registration paperwork helps ensure proper oversight of the securities transfer process. Items like a marketing plan, a customer list, or tax returns aren’t part of the 1934 Act broker-dealer registration filing, so they aren’t required components of the initial application.