Is your transfer agency equipped to support the next wave of capital formation?

The exempt securities market, which includes popular capital raising vehicles Regulation D (Reg D), Regulation A+ (Reg A+), and Regulation CF (Reg CF), surpassed the registered securities market in 2019.

Of all new capital raised in the U.S. in 2019 utilized an exempt securities offering

Amount of capital raised in exempt securities offerings in 2019

Forward-thinking transfer agents are leveraging CustodyWare’s cap table management software to meet issuer and investor demand for high-tech, high-touch solutions.

Source: SEC Report 2020

Update your legacy cap table management systems with one integrated solution


CustodyWare seamlessly integrates into your existing TA technology or as a standalone hosted web portal.


Integrated KYC/AML compliance checks on investors with an audit trail that checks have been performed.


Support the influx of new Reg A+, Reg D, & Reg CF issuers conducting exempt securities offerings.


Protect investors and issuers with transparent and immutable storage of shareholder records.


Dividend payment tools

Paying agent tools for instantaneous dividends & distributions to shareholders

Simplified transfers to secondary trading

Perform ATS-transfers with efficient handling of multiple holding periods, affiliates, etc.


Programmed compliance for restricted securities, Rule 144, affiliate management, etc.

Up to date shareholder listings

Combine anonymized data with securely stored personal information to generate accurate shareholder reports

Streamline all major transfer agent functions

Issuance, cancel, transfer, query, reporting, affiliates and release. Replace stolen or lost securities

Logged transactions on immutable storage medium

Timestamped transaction records on tamper-proof media for issuer and investor protection

Annual reports & proxy statements

Send out annual reports and proxy information for shareholders to vote

Protect sensitive data

Assure users their information is protected and in compliance with SEC Rule 17A-4(F)

Transfer agent DRS Platform

Give shareholders ability to hold their shares in book-entry form instead of a physical stock certificate

Securities Issuers

Reg A+ or S-1 Securities Offerings

Reg CF or Reg D Securities Offerings

Good Control Location

Engaging a transfer agent is mandated by the SEC for issuers conducting S-1 registrations or securities offerings under Regulation A+, unless 12(g) exempt.

Efficient transfer agent operations are critical to the successful completion of secondary trades. Reg D and Reg CF issuers will be looking to transfer agents who offer a streamlined solution.

Immutable proof of the holder’s identity is maintained by CustodyWare while the actual identity documentation is securely stored by the transfer agent in a regulatory compliant storage media pursuant to SEC Regulation S-P.

How it works


The issuer engages an SEC registered transfer agent in the CustodyWare community to manage investors’ shareholdings.


The electronic assets remain the property of the investor, and the investor has complete control of movement, however, appointing a transfer agent enables safe and transparent management of the assets.


Utilizing a transfer agent sets up an issuer’s securities for increased liquidity potential as such securities can be moved to “street-name” for secondary trading on an SEC-regulated ATS.


On instruction from an investor, transfer agents can execute transfers and releases to secondary trading.


CustodyWare-powered transfer agents can maintain post-offering up-to-date shareholder listings, reports, distributions, proxy information, etc. with the cap table management software.

Join our transfer agent community

“The realization seems to be setting in that a transfer agent is necessary even for shares offered pursuant to a Reg CF or Reg D exemption. CustodyWare is the product that we have been waiting for to maintain the integrity of the small cap. marketplace.”
-Yoel Goldfeder, CEO of VStock Transfer

How will you manage the new wave of capital formation?

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