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Keywords: Securityholder
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Journal Articles
Ready or not: lost securityholders, uncashed checks and dormant accounts
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (4): 53–54.
Published: 25 November 2013
...Holly Smith Purpose – This paper aims to summarize the new rules requiring broker-dealers with customer accounts to search for lost securityholders. Design/methodology/approach – The paper explains the requirement under SEC Rule 17Ad-17, beginning January 23, 2014, for any broker-dealer...
