What we are, and what we are not.
This page exists because a recordkeeping business that is vague about its own status has no business keeping anybody's records.
Registration
Deal Box Transfer Services LLC is not currently registered as a transfer agent with the U.S. Securities and Exchange Commission. We have not filed Form TA-1, and until such a filing is made and becomes effective we will not describe ourselves as registered, and neither should anyone else.
What we sell today is capitalization table and securityholder recordkeeping. We keep the register to the standards written for transfer agents in 17 CFR 240.17Ad, because that is the right way to keep a securityholder record, not because a registration requires it of us.
Whether a particular issue requires an agent registered with the Commission depends on the security and how it is held. That is your counsel’s call, not ours. If the answer is yes and we are not yet registered, we will tell you so and you should engage somebody who is.
Independence
Deal Box Ledger is an independently owned and operated company and is not a subsidiary of Deal Box, Inc. Deal Box, Inc. is not a transfer agent.
Deal Box Transfer Services LLC is a Delaware limited liability company, owned and operated by its members. It uses the Deal Box name under a trademark licence and nothing more. Deal Box, Inc. does not own it, does not control it, and does not keep anybody’s register.
Our members have interests in related companies, and a client of ours may also be a client of Deal Box, Inc. Where a client relationship is a related-party relationship, it is disclosed in that client’s order form. We would rather write it down than be asked about it.
Your records
The register, the journal, the instructions and the audit chain are the issuer’s records, not ours. You can export all of it at any time, in full, in a form you can read without us. On termination we return it and, on your instruction, destroy our copies except where a record must be retained.
Where a regulator or an examiner has a right of access to an issuer’s records, we will give it to them, and we will tell you that we did unless we are lawfully prevented from doing so.
What we never do
- We do not raise capital, solicit investors, or take any part of an offering.
- We do not give legal, tax or investment advice, and nothing on this site is any of those.
- We do not tell you what a security is worth, and we do not value anything.
- We do not promise liquidity, a market, or a return to anyone.
- We do not correct the book to make a difference go away.
Who to call
Questions about this page, about a holder record, or about how we handle a request from a regulator go to the same place, and a person answers them.
Contact us