TITLE

SEC reviews: The Securities and Exchange Commission cracks down

AUTHOR(S)
Halasa, Marni
PUB. DATE
December 1997
SOURCE
Bond Buyer;12/03/97, Vol. 322 Issue 30284, p10A
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Reports on a rule that legally requires transfer agents to exercise reasonable care in locating security holders with whom they have lost contact, which was enacted on December 8th, 1997. Description of `reasonable care'; Duties of the transfer agents; Information on Rule 17a-24; What the rule entails; Indication that transfer agents have not supported the proposition to increase regulation.
ACCESSION #
9712153049

 

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