Stock Issuer FAQs

What is a Registered Agent?

A registered agent is a business or individual located in the company’s state of incorporation authorized to receive tax and legal documents. A registered agent is also referred to as a resident agent or statutory agent.

Aspen Stock Transfer Services, LLC is a SEC registered transfer agent headquartered in Las Vegas, Nevada.

What is a CUSIP Number? How do I obtain a CUSIP number?

CUSIP stands for Committee on Uniform Securities Identification Procedures. The CUSIP number consists of a combination of nine characters, both letters and numbers, which act as a sort of DNA for the security - uniquely identifying the company or issuer and the type of security.

Aspen Stock Transfer Services is able to obtain a CUSIP on behalf of its clients. We will process the application with the CUSIP Service Bureau. A rush service is also available for additional processing fees.

What is DTCC?

DTCC, The Depository Trust Clearing Corporation, is the world’s largest post-trade financial services company. It was set up to provide an efficient and safe way for buyers and sellers of securities to make their exchange in attempts to reduce cost and increase capital efficiency. It also provides custody of securities. DTCC is a member of the U.S. Federal Reserve System. It is a limited trust company under New York State Banking law and a registered clearing agency with the SEC.

What is an IPO?

IPO stands for initial public offering. It refers to a corporation’s first offering of stock to the public.

What is EDGAR?

EDGAR stands for Electronic Data Gathering, Analysis, and Retrieval. This system was implemented by the Securities and Exchange Commission (SEC) to quickly process time-sensitive information of publicly-held companies, and to provide investors with easier access to company information. The EDGAR system performs the automated collection of data from corporations required by law to file reports with the SEC. Documents filed via EDGAR can be viewed at this link.

Aspen Stock Transfer Services provides the service to its clients with access to a proficient EDGAR service provider assuring that their financial regulatory filings are entered accurately and sufficiently.