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Year 2000 Readiness Reports To Be Made by Certain Non-Bank Transfer Agents

SEC · final-rule · Published 1998-11-02 · Effective 1998-12-02 · 63 FR 58630

Document

Document number
98-29116
Federal Register citation
63 FR 58630
CFR reference
17 CFR 240
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
1998-11-02
Effective date
1998-12-02
Docket
Release No. 34-40587

Abstract

The Securities and Exchange Commission (``Commission'') is amending Rule 17Ad-18 under the Securities Exchange Act of 1934 (``Exchange Act'') to require certain non-bank transfer agents to file with the Commission a report prepared by an independent public accountant regarding the non-bank transfer agent's process for preparing for the Year 2000. The report will provide valuable information on the existence and sufficiency of a non-bank transfer agent's process for addressing Year 2000 Problems, will provide an independent verification of the accuracy of the information contained in the non-bank transfer agent's second Form TA-Y2K, will aid the Commission in obtaining a more complete understanding of the industry's overall Year 2000 preparations, and will identify institution-specific and industry wide problems. The independent public accountant's report will be available to the public.

Source

Authoritative
Federal Register document
Machine
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