Notice
30 Jun 2025
securities, broker-dealers, paying agents, sec, compliance, recordkeeping
📄SEC's Proposed Information Collection for Rule 17Ad-17 Compliance
The Securities and Exchange Commission is requesting comments on a proposed information collection under Rule 17Ad-17, which entails requirements for broker-dealers and transfer agents to search for lost securityholders and notify payees. The rule imposes recordkeeping obligations and outlines associated burdens and costs for compliance.
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