1. Regulations
  2. title 17
  3. chapter II-i1
  4. part 240
  5. subjgrp 98
  6. § 240.15b1-6

View all text of Subjgrp 98 [§ 240.15a-6 - § 240.15b11-1]

§ 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.

[78 FR 4783, Jan. 23, 2013]

AUTHORITY: 15 U.S.C. 77c, 77d, 77g, 77j, 77s, 77z-2, 77z-3, 77eee, 77ggg, 77nnn, 77sss, 77ttt, 78c, 78c-3, 78c-5, 78d, 78e, 78f, 78g, 78i, 78j, 78j-1, 78j-4, 78k, 78k-1, 78

CITE AS: 17 CFR 240.15b1-6