HeyJaredJon-Luc Dupuy
- Indexed articles, last 90 days
- 2
- Latest publication
- Sep 23, 2026
- Outlet visibility, for Mondaq
- Top 500K sites
- Earliest in this view
- Sep 18, 2026
Latest articles
United States: SEC Proposes Modernization Overhaul Of Transfer Agent Rules (opens the original)
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The SEC is proposing to substantively overhaul the securities transfer agent regulatory framework, which has largely remained unchanged since the paperwork-based system of the mid-1970s. Since this time, modern-day transfer agent operations have expanded in scope and complexity, outpacing rules mainly established prior to the advent of the Internet. Many of the SEC’s proposed changes are designed to technologically neutralize the rules for adaptation to the modern environment, including utilizat
SEC Proposes Modernization Overhaul Of Transfer Agent Rules (opens the original)
Read excerpt
The SEC is proposing to substantively overhaul the securities transfer agent regulatory framework, which has largely remained unchanged since the paperwork-based system of the mid-1970s. Since this time, modern-day transfer agent operations have expanded in scope and complexity, outpacing rules mainly established prior to the advent of the Internet. Many of the SEC’s proposed changes are designed to technologically neutralize the rules for adaptation to the modern environment, including utilizat
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