SEC Focuses on Lost Security Holders

If you received a letter in the last week or two from the SEC asking whether your funds transfer agent had entered into arrangements to locate lost security holders, youre not alone. It appears that a round of the letters recently was sent out.
Full contents of this article are only available to paid subscribers.

Please note: we are on a new platform and you may need to reset your password to recover your account. Click here for more details.

New to ACA Insight?

Subscribe today and receive a time-limited $200 discount!

Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.