TITLE

SEC lodges Y2K charges against 9 transfer agents

AUTHOR(S)
Hendrickson, Mark
PUB. DATE
January 1999
SOURCE
Securities Industry News;01/11/99, Vol. 11 Issue 2, p1
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Focuses on the enforcement actions filed by the United States Securities and Exchange Commission (SEC), against nine transfer agents, for failing to provide timely reports on the steps they are taking to deal with the year 2000 (Y2K) problem. Joint enforcement actions taken in October 1998 with the National Association of Securities Dealers; Rules adopted by the SEC regarding transfer agents.
ACCESSION #
1465258

 

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