VStock Transfer, LLC has filed an updated application with the SEC, indicating changes to its registration. This move is significant as it highlights the company's commitment to compliance and operational excellence in the transfer agent industry.
VStock Transfer, LLC is a limited liability company based in Woodmere, New York. The company operates as a transfer agent, managing securities transactions for various clients. It was previously known as Onyx Stock Transfer LLC, with the name change occurring in September 2009. The company’s fiscal year ends on December 31.
The recent filing, dated October 20, 2026, is classified as a TA-1/A form. The effective date for this filing is set for October 30, 2026. The document does not provide extensive details on the changes being made, but it signifies a proactive approach to regulatory compliance.
This update may affect various stakeholders, including clients relying on VStock’s services for securities transactions, as well as competitors in the transfer agent sector. The filing underscores the importance of maintaining regulatory standards in a competitive landscape.
Details were not available in the SEC filing regarding any specific next steps following this update.
Company Details and Management
VStock Transfer, LLC is incorporated in California and operates primarily from its office located at 18 Lafayette Place, Woodmere, NY 11598. The company has a Central Index Key (CIK) of 0001472022 and a Federal Employer Identification Number (EIN) of 270829034.
The management team includes notable figures such as Yoel Goldfeder, who serves as the Chief Executive Officer and oversees day-to-day operations, and Seth Farbman, who holds the position of Co-Manager and Chairman. Additionally, Erica Goodstein has recently been appointed as General Counsel, Chief Compliance Officer, and Corporate Secretary, indicating a strengthening of the company’s legal and compliance oversight.
Regulatory Compliance History
VStock Transfer has faced regulatory scrutiny in the past, specifically an administrative cease-and-desist proceeding initiated by the Securities and Exchange Commission (SEC) on August 27, 2020. This proceeding resulted in an order of settlement, highlighting the company's previous challenges in maintaining compliance with investment-related regulations.
Despite this past issue, the current filing reflects a commitment to improving compliance measures and adhering to the regulatory standards set forth by the SEC. The proactive steps taken by VStock in updating its registration may help to rebuild trust with stakeholders and enhance its reputation in the transfer agent industry.
Future Outlook
The filing does not include specific details regarding future strategies or initiatives that VStock Transfer, LLC plans to implement following this registration update. Stakeholders may be looking for further insights into how the company intends to navigate the competitive landscape and address any lingering compliance concerns.