Rules & Regulations

(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

(a) Each registered non-bank transfer agent must file Part I of Form TA-Y2K (§249.619 of this chapter) with the Commission describing the transfer agent's preparation ...

(a) Definitions. For purposes of this section: (1) The terms cancelled or cancellation means the process in which a securities certificate: (i) Is physically marked ...

(a) Except as provided in paragraph (c) of this section, no registered transfer agent shall transfer any equity security registered pursuant to section 12 or ...

(a) This section applies to every registered non-bank transfer agent that uses computers in the conduct of its business as a transfer agent. (b)(1) You ...

(a) Definitions. For purposes of this section: (1) Central counterparty means a clearing agency that interposes itself between the counterparties to securities transactions, acting functionally ...