Rule 17Ad-16 Notice of assumption or termination of transfer agent services

OMB 3235-0413

OMB 3235-0413

Rule 17Ad-16, 17 CFR 240.17Ad-16, under the Securities Exchange Act of 1934, requires a registered transfer agent to provide written notice to the appropriate qualified registered securities depository when assuming or terminating transfer agent services on behalf of an issuer or when changing its name or address. In addition, transfer agents that provide such notice shall maintain such notice for a period of at least two years in an easily accessible place. This rule addresses the problem of certificate transfer delays caused by transfer requests that are directed to the wrong transfer agent or the wrong address.

The latest form for Rule 17Ad-16 Notice of assumption or termination of transfer agent services expires 2022-07-31 and can be found here.


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