SEC Proxy Concept Release and STA Comment Letter
SEC proposed amendments to proxy voting advice businesses from the filing of information requirements and STA Comment Letter
9 ways to get the best deal with your new Transfer Agent
These points will help you get the right deal when you are hiring a new Transfer Agent
SEC Grants Temporary Exemption to Transfer Agents
As an attempt to provide relief from Covid19, the Securities and Exchange Commission granted the following exemptions to the registered transfer agents on March 20, 2020: The clearance and settlement…
SEC Proposes New Transfer Agent Rules
The SEC released an advance notice regarding a concept release and proposed rulemaking for transfer agents on December 22, 2015. The Advance Notice of Proposed Rulemaking (ANPR) outlines the proposed…
SEC Releases Amendment of Rule 17Ad-17: Lost Securityholders and Unresponsive Payees
On January 16th, The Securities and Exchange Commission (SEC) adopted amendments to Rule 17Ad-17 for Lost Securityholders and Unresponsive Payees to implement the requirements of Section 929W of the Dodd-Frank…
Hurricane Sandy Still Affecting DTCC
Transfer agents have noticed a pause and significant slowdown in the Depository Trust & Clearing Corporation (DTCC) processing times as a result of Hurricane Sandy in October 2012. Here are…
What is a Transfer Agent?
Many shareholders are confused by the transfer agent’s role in the securities market in relationship to the broker, clearing firm, DTCC, and the issuer. To clarify some of the different…
Private Company Benefits of Using a Transfer Agent
More and more private companies around the world are employing the specialized services, and enjoying the benefits, of a professional stock transfer agency. Traditionally, the number of shareholders in privately held…