Rule 17Ad-3(b)(17 CFR 240.17Ad-3); Notice to Issuers of Non- Compliance with Transfer Agent Turnaround Standards.

OMB 3235-0473

OMB 3235-0473

Rule 17Ad-3(b) informs issuers of a transfer agent's failure to meet minimum performance standards established pursuant to Rule 17Ad-2. This notice serves to alert issuers to the problem and allows them to monitor or take remedial action.

The latest form for Rule 17Ad-3(b)(17 CFR 240.17Ad-3); Notice to Issuers of Non- Compliance with Transfer Agent Turnaround Standards. expires 2021-01-31 and can be found here.


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