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On Nov. 5, 2019, the SEC proposed amendments to its rules that exempt proxy voting advice businesses from the filing of information requirements under the federal proxy rules. The proposed amendments ...

Hiring a transfer agent to manage your securities transactions and stock ledger has many advantages, even for private companies. However, striking the right deal that meets your needs is something you...

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 settle...

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 ...

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 D...

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 some f...

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 roles, here ...

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 shareholde...

Your company, whether private or public, could benefit from using a transfer agent. Visit our in-house vs. out-sourced page to learn more about why you should consider using a transfer agent. Why P...

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