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SEC RIN: 3235-AL11 Publication ID: 2012 
Title: Proposed Amendment to Rule 17Ad-17; Transfer Agents', Brokers', and Dealers' Obligation To Search for Lost Securityholders 
Abstract: The Commission proposed amendments to Rule 17Ad-17 to implement the mandates of section 929W of the Dodd-Frank Act. That section requires (1) adding brokers and dealers to entities that must conduct database searches for lost security holders; and (2) requiring that "paying agents," which are persons that accept payments from the issuer of a security for distribution to a security holder, send written notification to a security holder who has been sent a check that has not been negotiated no later than 7 months after the check was sent. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.17A-17; 17 CFR 249.617 
Legal Authority: 15 USC 78q(g); PL 11-203, sec 939A 
Legal Deadline:
Action Source Description Date
Final  Statutory  Dodd-Frank Act requires final rules within a year of enactment.  07/21/2011 
Timetable:
Action Date FR Cite
NPRM  03/25/2011  76 FR 16707 
NPRM Comment Period End  05/09/2011   
Final Action  12/00/2012   
Regulatory Flexibility Analysis Required: No  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2011/34-64099.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Thomas C. Etter Jr.
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5713
Email: ettert@sec.gov

 
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