Recordkeeping Requirements for Registered Transfer Agents
SEC · final-rule · Published 2003-12-29 · 68 FR 75050
Document
Document number
03-31640
Federal Register citation
68 FR 75050
CFR reference
17 CFR 240
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2003-12-29
Docket
Release No. 34-48949
Abstract
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.