17 C.F.R. § 240.15b1-6

Current through September 30, 2024
Section 240.15b1-6 - Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees

Brokers and dealers are hereby notified of Rule 17Ad-17 (§ 240.17Ad-17 ), which addresses certain requirements with respect to lost securityholders and unresponsive payees that may be applicable to them.

17 C.F.R. §240.15b1-6

78 FR 4783, Jan. 23, 2013