Rules & Regulations

(a) Reporting requirements of risk assessment information required to be maintained by section 240.17h-1T. (1) Every broker or dealer registered with the Commission pursuant to ...

(a) An application for registration or for exemption from registration as a clearing agency, as defined in section 3(a)(23) of the Act, or an amendment ...

(a) An application for registration, pursuant to section 17A(c) of the Act, of a transfer agent for which the Commission is the appropriate regulatory agency, ...

(a) Every transfer agent registered on December 31 must file a report covering the reporting period on Form TA-2 (§249b.102 of this chapter) by March ...

(a) Notice of withdrawal from registration as a transfer agent with the Commission pursuant to section 17A(c)(4) of the Act shall be filed on Form ...

(a)(1) The term item means: (i) A certificate or certificates of the same issue of securities covered by one ticket (or, if there is no ...

(a) Every registered transfer agent (except when acting as an outside registrar) shall turnaround within three business days of receipt at least 90 percent of ...

(a) Any registered transfer agent which is required to file any notice pursuant to §240.17Ad-2 (c) or (d) for each of three consecutive months shall ...

(a) Sections 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11) shall not apply to interests in limited partnerships, to redeemable securities of investment companies ...

(a) When any person makes a written inquiry to a registered transfer agent concerning the status of an item presented for transfer during the preceding ...