About our SEC-Registered Transfer Agent Status
Carta does more than track cap tables. We are a registered Transfer Agent with the U.S. Securities and Exchange Commission (SEC) and companies use our platform to issue electronic securities to their security holders.
Transfer Agents facilitate the clearance and settlement of securities transactions. We record changes in ownership, maintain corporate security holder records, and cancel and issue certificates. In order to ensure that this is done promptly and accurately, the SEC requires Carta to meet recordkeeping and reporting standards, and safeguard securities and funds against misuse. The SEC also conducts on-site inspections of our offices.
We are regulated by the regional office of the SEC located at 44 Montgomery Street, San Francisco, CA.