View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML
SEC RIN: 3235-AL55 Publication ID: Spring 2015 
Title: Transfer Agent Concept Release 
Abstract:

The Division is considering recommending that the Commission issue a concept release related to potential additions and amendments to the current transfer agent rules in order to update the existing regulatory framework.  The Division is also considering potential rule proposals for updates and enhancements to specific elements of the transfer agent program that the Commission could issue.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Prerule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: 15 U.S.C. 78q-1   
Legal Deadline:  None
Timetable:
Action Date FR Cite
ANPRM  04/00/2016 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Moshe Rothman
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5645
Email: rothmanm@sec.gov