Statutes, codes, and regulations
Code of Federal Regulations
Title 17 - COMMODITY AND SECURITIES EXCHANGESChapter II - SECURITIES AND EXCHANGE COMMISSIONPart 240 - GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934Subpart A - RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934
REGISTRATION OF BROKERS AND DEALERS
Section 240.15b1-6 - Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees

17 C.F.R. § 240.15b1-6

Download
PDF
Current through May 31, 2024
Section 240.15b1-6 - Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees

Brokers and dealers are hereby notified of Rule 17Ad-17 (§ 240.17Ad-17 ), which addresses certain requirements with respect to lost securityholders and unresponsive payees that may be applicable to them.

17 C.F.R. §240.15b1-6

78 FR 4783, Jan. 23, 2013