Rules & Regulations

(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) 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) ...

(a) Accountant's report. Every registered transfer agent, except as provided in paragraph (d) of this section, shall file annually with the Commission and the transfer ...

(a) Establishing book-entry depository accounts. When securities of a subject company have been declared eligible by one or more qualified registered securities depositories for the ...

(a) Definitions. For purposes of this section, the following terms shall mean: (1) Act means the Securities Exchange Act of 1934; (2) Eligible Guarantor Institution ...

(a) A registered transfer agent that ceases to perform transfer agent services on behalf of an issuer of securities, including a registered transfer agent that ...

SEC rule requires every broker-dealer to exercise reasonable care to ascertain the correct addresses of such securityholders