United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 1998_register executive 2010-09-24 article Part III Rules and Regulations D09002ee1bdff7005 D09002ee1bdff7530 United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission (``Commission'') is adopting Rule 17Ad-18 under the Securities Exchange Act of 1934 (``Exchange Act'') to require certain transfer agents to file with the Commission two reports regarding their Year 2000 compliance. The reports will increase transfer agent awareness of the specific steps they should be taking to prepare for the Year 2000; help coordinate industry testing and contingency planning; supplement the Commission's examination module for Year 2000 issues and identify potential Year 2000 compliance problems; and provide information regarding the securities industry's preparedness for the Year 2000. The reports are designed to be available to the public, which will enable issuers and other parties to assess the risks of doing business with a transfer agent that may not be Year 2000 compliant. 63 FR 37688 https://www.govinfo.gov/app/details/FR-1998-07-13/98-18296 98-18296 fr13jy98-19 RIN 3235-AH42 8010-01-P Release No. 34-40163 File No. S7-8-98 https://www.govinfo.gov/app/details/FR-1998-07-13/98-18296 https://www.govinfo.gov/content/pkg/FR-1998-07-13/html/98-18296.htm https://www.govinfo.gov/content/pkg/FR-1998-07-13/pdf/98-18296.pdf 21 p. 37688 37708 63 FR 37688 Title 17 Part 240 17 CFR Part 240 RIN 3235-AH42 Year 2000 Readiness Reports To Be Made by Certain Transfer Agents; Federal Register Vol. 63, Issue RULE 98-18296 III SECURITIES AND EXCHANGE COMMISSION Release No. 34-40163 File No. S7-8-98 8010-01-P 98-18296 Final rule.

The Securities and Exchange Commission (``Commission'') is adopting Rule 17Ad-18 under the Securities Exchange Act of 1934 (``Exchange Act'') to require certain transfer agents to file with the Commission two reports regarding their Year 2000 compliance. The reports will increase transfer agent awareness of the specific steps they should be taking to prepare for the Year 2000; help coordinate industry testing and contingency planning; supplement the Commission's examination module for Year 2000 issues and identify potential Year 2000 compliance problems; and provide information regarding the securities industry's preparedness for the Year 2000. The reports are designed to be available to the public, which will enable issuers and other parties to assess the risks of doing business with a transfer agent that may not be Year 2000 compliant.

August 12, 1998. Jerry W. Carpenter, Assistant Director, 202/942-4187; Thomas C. Etter, Jr., Special Counsel, 202/942- 0178; or Jeffrey Mooney, Special Counsel, 202/942-4174, Division of Market Regulation, Securities and Exchange Commission, 450 Fifth Street, NW., Mail Stop 10-1, Washington, DC 20549. Vol. 63, no. 133 Office of the Federal Register, National Archives and Records Administration 1998-07-13 continuing daily deposited born digital 290 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-1998-07-13 P0b002ee180a5cbae 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr13jy98 https://www.govinfo.gov/app/details/FR-1998-07-13 https://www.govinfo.gov/content/pkg/FR-1998-07-13/pdf/FR-1998-07-13.pdf fdlp 37475 37754 DGPO 2010-09-24 2023-05-06 FR-1998-07-13 machine generated eng FR FR-1998-07-13 63 133