Transcription of Transfer Agent Overview - Computershare
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Transfer Agent Overview - Computershare
Transfer Agent Overviewcertaintyingenuityadvantage 2 > ComputershareTransfer Agent OverviewContentsExecutive summary 3 What is stock? 3 Registered and beneficial shareholders 4 Recordkeeping and the Transfer Agent 5 Transfer Agent regulations 5 Book entry and printed certificates 7 Dividends 7 Dividend reinvestment plans (DRP) and direct stock purchase plans (DSPP) 7 Waiver plans 8 Transferring shares 8 Lost certificates 8 Sales of shares 8 The Depository Trust Company (DTC) 8 Fast Automated Securities Transfer (FAST) system 9 Deposit or Withdrawal by Custodian (DWAC) 9 Direct Registration System (DRS)
Transfer agent regulations Since the mid-1970s, transfer agents have been subject to federal regulation by the SEC in accordance with the Securities Exchange Act of 1934. Transfer agents must comply with all applicable rules of the SEC, primarily sections 17Ad-1 through 17Ad-20 of the Securities Exchange Act of 1934. These regulations include
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