Notices regarding acceptance or rejection of securities transfer guarantees. 17 CFR 240.17Ad-15

OMB 3235-0409

OMB 3235-0409

Rule 17Ad-15 requires transfer agents to establish written standards for the acceptance or rejection of guarantees of securities transfer from eligible guarantor institutions. Transfer agents are also required to establish procedures, including written guidelines where appropriate, to ensure that those standards are used in determining whether to accept or reject guarantees from eligible guarantor institutions.

The latest form for Notices regarding acceptance or rejection of securities transfer guarantees. 17 CFR 240.17Ad-15 expires 2022-02-28 and can be found here.


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