Exchange Act Rules 17Ad-13; Annual Study and evaluation of internal accounting control

OMB 3235-0275

OMB 3235-0275

Rule 17Ad-13 requires certain registered transfer agents to obtain an annual report prepared by an independent accountant that discusses the adequacy of the transfer agent's system of internal accounting control and related procedures for the transfer of record ownership and the safeguarding of related securities and funds.

The latest form for Exchange Act Rules 17Ad-13; Annual Study and evaluation of internal accounting control expires 2022-03-31 and can be found here.


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