Rules & Regulations

(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 ...

(a) Every registered transfer agent shall make and keep current the following: (1) A receipt, ticket, schedule, log or other record showing the business day ...

(a) The records required by §240.17Ad-6(a)(1), (3)(i), (6) or (11) shall be maintained for a period of not less than two years, the first six ...

(a) For purposes of this section, the term securities position listing means, with respect to the securities of any issuer held by a registered clearing ...

(a) Certificate detail, with respect to certificated securities, includes, at a minimum, all of the following, and with respect to uncertificated securities, includes items (2) ...

(a) Definitions. (1) Issuer capitalization means the market value of the issuer's authorized and outstanding equity securities or, with respect to a municipal securities issuer, ...

(a) Any registered transfer agent that has custody or possession of any funds or securities related to its transfer agent activities shall assure that: (1) ...