Code of Federal Regulations (Last Updated: February 15, 2024) |
Title 17 - Commodity and Securities Exchanges |
Chapter II - Securities and Exchange Commission |
Part 240 - General Rules and Regulations, Securities Exchange Act of 1934 |
Registration of Brokers and Dealers |
§ 240.15b1-6 - Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
Latest version.
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§ 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]