17 CFR 240.15b1-6 - Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.

Regulations last checked for updates: May 02, 2024

Title 17 - Commodity and Securities Exchanges last revised: Apr 29, 2024

View all text of Part 240 [§ 240.0-1 - § 240.36a1-2]

§ 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,77z,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