Sifma Kicks off Industry Feedback to SEC on Proposals for Dealing with Unclaimed Securities, Further Clarity Needed

Sifma has been one of the first industry groups to raise concerns about the Securities and Exchange Commission’s (SEC) proposals regarding the introduction of new requirements for broker-dealers and transfer agents to collect data on lost or missing security holders. The association (one of around a dozen to respond initially) is asking the regulator to...

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