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 2013_register executive 2013-01-23 article Rules and Regulations D09002ee1c7fbf1d8 D09002ee1c7fbf23f United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission ("Commission") is adopting amendments to Rule 17Ad-17 to implement the requirements of Section 929W of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). That Section added to Section 17A of the Securities Exchange Act of 1934 ("Exchange Act") subsection (g), "Due Diligence for the Delivery of Dividends, Interest, and Other Valuable Property Rights," which directs the Commission to revise Exchange Act Rule 17Ad-17, "Transfer Agents' Obligation to Search for Lost Securityholders" to: extend the requirements of Rule 17Ad-17 to search for lost securityholders from only recordkeeping transfer agents to brokers and dealers as well; add a requirement that "paying agents" notify "unresponsive payees" that a paying agent has sent a securityholder a check that has not yet been negotiated; and add certain other provisions. The Commission also is adopting a proposed conforming amendment to Rule 17Ad-7(i) and new Rule 15b1-6, a technical rule to help ensure that brokers and dealers have notice of their new obligations with respect to lost securityholders and unresponsive payees. 78 FR 4768 https://www.govinfo.gov/app/details/FR-2013-01-23/2013-01269 2013-01269 fr23ja13-6 RIN 3235-AL11 8011-01-P Release No. 34-68668 File No. S7-11-11 https://www.govinfo.gov/app/details/FR-2013-01-23/2013-01269 https://www.govinfo.gov/content/pkg/FR-2013-01-23/html/2013-01269.htm https://www.govinfo.gov/content/pkg/FR-2013-01-23/pdf/2013-01269.pdf Reporting and Recordkeeping Requirements; Securities 17 p. 4768 4784 78 FR 4768 Title 17 Part 240 17 CFR Part 240 RIN 3235-AL11 Lost Securityholders and Unresponsive Payees; Federal Register Vol. 78, Issue RULE 2013-01269 SECURITIES AND EXCHANGE COMMISSION 2013-03-25 2014-01-23 Release No. 34-68668 File No. S7-11-11 8011-01-P 2013-01269 Final rule.

The Securities and Exchange Commission ("Commission") is adopting amendments to Rule 17Ad-17 to implement the requirements of Section 929W of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). That Section added to Section 17A of the Securities Exchange Act of 1934 ("Exchange Act") subsection (g), "Due Diligence for the Delivery of Dividends, Interest, and Other Valuable Property Rights," which directs the Commission to revise Exchange Act Rule 17Ad-17, "Transfer Agents' Obligation to Search for Lost Securityholders" to: extend the requirements of Rule 17Ad-17 to search for lost securityholders from only recordkeeping transfer agents to brokers and dealers as well; add a requirement that "paying agents" notify "unresponsive payees" that a paying agent has sent a securityholder a check that has not yet been negotiated; and add certain other provisions. The Commission also is adopting a proposed conforming amendment to Rule 17Ad-7(i) and new Rule 15b1-6, a technical rule to help ensure that brokers and dealers have notice of their new obligations with respect to lost securityholders and unresponsive payees.

The amendments will become effective on March 25, 2013. The compliance date will be January 23, 2014. Thomas C. Etter, Jr., Special Counsel, at (202) 551-5710, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-7010. Reporting and Recordkeeping Requirements; Securities Lost Securityholders and Unresponsive Payees , http://www.gao.gov/assets/240/232703.pdf http://www.sec.gov/news/testimony/ts162000.htm http://www.sec.gov/spotlight/proxyprocess/proxyvotingbrief.htm www.sec.gov/foia/howfo2.htm#privacy Vol. 78, no. 15 Office of the Federal Register, National Archives and Records Administration 2013-01-23 continuing daily deposited born digital 364 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2013-01-23 P0b002ee183b0f723 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr23ja13 https://www.govinfo.gov/app/details/FR-2013-01-23 https://www.govinfo.gov/content/pkg/FR-2013-01-23/pdf/FR-2013-01-23.pdf https://www.govinfo.gov/content/pkg/FR-2013-01-23/xml/FR-2013-01-23.xml fdlp 4759 5113 DGPO 2013-01-23 2024-06-03 FR-2013-01-23 machine generated eng FR FR-2013-01-23 78 15