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Issuer Restrictions or Prohibitions on Ownership by Securities Intermediaries

SEC · final-rule · Published 2004-12-07 · Effective 2005-03-07 · 69 FR 70852

Document

Document number
04-26785
Federal Register citation
69 FR 70852
CFR reference
17 CFR 240
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2004-12-07
Effective date
2005-03-07
Docket
Release No. 34-50758

Abstract

The Securities and Exchange Commission ("Commission") is adopting a new rule under the Securities Exchange Act of 1934 ("Exchange Act") that prohibits registered transfer agents from effecting any transfer of any equity security registered under Section 12 or any equity security that subjects an issuer to reporting under Section 15(d) of the Exchange Act if such security is subject to any restriction or prohibition on transfer to or from a securities intermediary, such as clearing agencies, banks, or broker-dealers. The primary purpose of the rule is to promote the integrity and efficiency of the U.S. clearance and settlement system.

Source

Authoritative
Federal Register document
Machine
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