Regulatory Alerts2023-07-21
Added · Updated
Licensing of Share Transfer Agents – Directive No. 1 of 2023
The Securities and Exchange Commission mandates all listed companies, their departments or divisions, and representatives acting as share transfer agents to obtain a formal license. Applications must comply with Section 34 of the Securities Act and be submitted by December 31, 2023. The Commission reserves the right to enforce regulatory action against non-compliant entities after the deadline.
More like this from SEC
We email you every new SEC publication the day it's published.
Topics
Share