Category: SEC Releases

SEC Releases Transfer Agent News transfer agent rules

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 Transfer Agent News

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…