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|SEC Seal                                | Home | Previous PageU.S. Securities and Exchange Commission
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|                                   |                     | Stock Certificates, Proving Ownership
      If you are trying to establish whether you or a family member own 
      securities or not, here are some steps you can take.
      Establishing your ownership is easier if you can remember which firm 
      arranged for your purchase of the security and whether the security was 
      held in your name or in the firm�s name. Depending on how you came to own 
      the security, take these steps:
      Brokerage Firm
      If you bought the security through a brokerage firm, contact the firm 
      and ask if they have a record of your ownership. The firm would have 
      purchased the stock for your account either in your name or the firm�s 
      name. Either way, the brokerage firm may have a record of the purchase. 
      But keep in mind, brokerage firms are required to keep these records for 
      only six years.
      Transfer Agent
      If the brokerage firm cannot find any record of your account, you 
      should contact the transfer agent who handles the company�s securities. 
      Transfer agents keep records of securities owners who hold certificates.
      You can find the name and address of a company�s transfer agent in the 
      company�s annual report. Many companies file their annual reports with the 
      SEC. Check the SEC�s EDGAR 
      database to see if the company filed its annual report with the SEC. 
      If no annual report is on file, call the company for the transfer agent�s 
      name and address. Some companies also maintain investor relations offices 
      that can be contacted by telephone and may be able to provide useful 
      investor information.
      Company
      If the stock was purchased directly from the company issuing the 
      securities, then the company should have a record of the purchase. The 
      company should also be able to tell you whether it issued physical 
      certificates (on paper) or whether the sale was simply recorded in its 
      computers, called book 
      entry.
      If the company is not actively traded and you cannot locate it, you can 
      contact its state of incorporation for information. A state�s office of 
      the secretary of state or corporate division usually maintains state 
      corporate records.
      States
      If these efforts prove futile, you may have to try another approach. 
      Your securities or your securities account may have been turned over to 
      the state for safekeeping according to the state�s laws on escheatment. Under these 
      laws, broker-dealers, transfer agents, and financial institutions are 
      required to turn over securities and other unclaimed property to the state 
      of the owner�s last known address after they have lost contact with the 
      owner for a period of time.
      Each state has an office that handles unclaimed property, either for 
      safekeeping or disposal. You can search the records of each state�s 
      inventory of unclaimed property by clicking the National Association of Unclaimed Property Administrators 
      Web site. Check the unclaimed property listings in each state where you 
      had dealings with a broker or transfer agent. That may help you determine 
      whether that state is holding your securities or 
      account.http://www.sec.gov/answers/owncert.htmWe have provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.
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