Category: Transfer Agent News

Transfer Agent Industry News

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…

Transfer Agent News

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…

Transfer Agent News

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…

Finding a Transfer Agent Transfer Agent News

Why would my company need a transfer agent?

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…