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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. |
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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 |
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Timetable:
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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 |