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Code · REGISTER · 2003-12-29 · Securities and Exchange Commission (“Commission”) · Proposed Rules

Proposed Rules. Final rule

4,962 words·~23 min read·/register/2003/12/29/03-31640·

A research copy — for the controlling text, always check the official state or federal source. Not legal advice.

Agency: Securities and Exchange Commission (“Commission”)
Action: Final rule
Citation: 68 FR (No. 248) · FR Doc. 03-31640 · RIN 3235-AI87 · Release No. 34-48949; File No. S7-13-03 · 17 CFR 240

Summary

The Commission is amending its rule concerning recordkeeping requirements for registered transfer agents. The amendments will make clear that registered transfer agents may use electronic, microfilm, and microfiche media as a substitute for hard copy records, including cancelled stock certificates, for purposes of complying with the Commission's transfer agent recordkeeping rules and that a third party on behalf of a registered transfer agent may place into escrow the required software information. EFFECTIVE DATE: January 28, 2004.

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U.S. Code