Final Rule
Notice of Assumption or Termination of Transfer Agent Services
Overview
Securities and Exchange Commission today is adopting new Rule 17Ad-16 under the Securities Exchange Act of 1934 which requires a registered transfer agent to provide written notice to a registered securities depository when terminating or assuming transfer agent services on behalf of an issuer or when changing its name or address. The rule will address a continuing problem of unannounced transfer agent changes which affects the prompt transfer of securities certificates.
Resources
Details
File Number
S7-1-92
Rule Type
Final
Release Number
34-35039
SEC Issue Date
Dec. 1, 1994
Federal Register Publish Date
Dec. 8, 1994
RIN
3235-AE20