Home | Previous Page

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.htm

Home | Previous Page Modified:06/25/2007
Jobs | Fast Answers | Site Map | Search

Information for 

Reserve Primary Fund 

Investors

SEC Seeks Comments 

on Short Selling 

Measures

more...

Spotlight on 

Fair Value 

Accounting Standards

Interactive Data 

(XBRL)

Credit Rating Agency 

Examination Report

SEC Roundtable on 

Short Selling 

 

 

 

 

Saving and 

Investing Tips

 

 

 

 

 

 

 

 

 

 

SEC Seeks Comments on Shareholder Proxy 

Proposal

The SEC is seeking public comments on proposed rule amendments to 

facilitate the exercise of shareholders' rights to nominate directors to a 

company's board. Proposal | Comment

Other News:

● SEC Halts Ponzi Scheme Run By Convicted Felon Siphoning Investor 

Funds For Sports Talk Venture

more news... RSS Feed for SEC News

Chairman Schapiro testified 

before Congress about the 

SEC's reforms to improve 

investor protection and restore 

confidence in the markets.

● Testimony

● Appendix

About the SEC

What We Do 

Commissioners 

Upcoming Events 

Laws & Regulations 

2008 PAR 

Office of Inspector General 

more...

Filings & Forms 

Quick EDGAR Tutorial 

Search for Company Filings 

Descriptions of SEC Forms 

Requesting Public Documents 

more...

Regulatory Actions

Proposed Rules 

Final Rules 

Interim Final Temporary Rules 

Other Orders and Notices 

SRO Rulemaking 

more...

Staff Interpretations

Staff Accounting Bulletins 

Staff Legal Bulletins 

Staff No-Action Letters 

more...

Investor Information

2008 Annual Report 

File a Tip or Complaint 

Check Out Brokers & Advisers 

Publications 

en Español 

For Seniors 

PAUSE 

more...

News & Public Statements

News Digest 

Press Releases 

What's New 

Webcasts 

Special Studies 

Speeches & Public Statements 

Testimony 

more...

Litigation

Litigation Releases 

Administrative Proceedings 

Opinions and Adjudicatory Orders 

Trading Suspensions 

more...

Administrative Law Judges

ALJ Initial Decisions 

ALJ Orders 

Information for:

Accountants

Broker Dealers

Broker-Dealer CCOs

EDGAR Filers

Funds & Advisers

Fund/Adviser CCOs

International

Municipal Markets

NRSROs

Small Business

Divisions/Offices

Corporation Finance

Enforcement

Investment Mgmt.

Trading & Markets

Compliance

International Affairs

more...
Contact | Employment | Links | FOIA | Forms | Privacy Policy | No FEAR Act & EEO Data | USA.gov
Home | Jobs | Fast Answers | Site Map | Search 

 About the SEC

 Filings & Forms

Quick EDGAR 

Tutorial

Search for Filings

Form Descriptions

Forms List

About EDGAR

Search EDGAR 

Comments

Preview Submissions

FTP Users

SIC Codes

Info for EDGAR 

Filers

Requesting 

Documents 

 Regulatory Actions

 Staff Interps

 Investor Info

 News & Statements

 Litigation

 ALJ

 Information for...

 Divisions

Filings & Forms

All companies, foreign and domestic, are required to file registration 

statements, periodic reports, and other forms electronically through 

EDGAR. Anyone can access and download this information for free. Here 

you'll find links to a complete list of filings available through EDGAR and 

instructions for searching the EDGAR database.

Quick EDGAR Tutorial

Search for Company Filings

Descriptions of SEC Forms

SEC Forms List (PDF versions)

About EDGAR

Search EDGAR Comment Letters

Filers: Preview Interactive Data 

Submissions 

FTP Users

 Indices

SIC Codes

Information for EDGAR Filers

Requesting Public Documents

http://www.sec.gov/edgar.shtml

Contact | Employment | Links | FOIA | Forms | Privacy Policy Modified: 06/09/2009

Home | Previous Page

Book Entry

The "book entry" form of ownership allows you to own securities without a 

certificate. Stock in direct investment plans, Treasury securities purchased 

directly from the U.S. Department of the Treasury, and recently issued 

municipal bonds are held in book entry form.

To learn more about the different ways securities can be held or registered, 

you can read Holding Your Securities Get the Facts.

http://www.sec.gov/answers/bookentry.htm

Home | Previous Page Modified: 10/05/2005
Home | Previous Page

Accounts Abandoned or Unclaimed

The Escheatment Process

All states require financial institutions, including brokerage firms, to report when personal 

property has been abandoned or unclaimed after a period of time specified by state law —

often five years. Before a brokerage account can be considered abandoned or unclaimed, 

the firm must make a diligent effort to try to locate the account owner. If the firm is unable 

to do so, and the account has remained inactive for the period of time specified by state 

law, the firm must report the account to the state where the account is held. The state then 

claims the account through a process called "escheatment," whereby the state becomes the 

owner of the account.

As part of the escheatment process, the state will hold the account as a bookkeeping entry, 

against which the former account owner may make a claim. States tend to sell the 

securities in escheated accounts and treat the proceeds as state funds. When a former 

account owner makes a valid request, however, the states will normally provide the former 

owner with cash equaling the value of the account at the time of escheatment. This amount 

of cash does not include any dividends or interest covering the time after escheatment.

There are several websites, including commercial ones, where you can search for 

unclaimed property. One non-commercial site, the National Association of Unclaimed 

Property Administrators, allows you to search by individual state.

States have their own requirements for finding and claiming unclaimed property. If you 

believe you have unclaimed property, the state will require you to send them information 

about yourself to verify your ownership of the unclaimed property. After verifying your 

ownership, the state will either mail you a claim form or permit you to fill out the form 

online and print it for submission to the state.

http://www.sec.gov/answers/escheat.htm
Home | Previous Page Modified:06/25/2007
Go directly to a government unclaimed property program by clicking on a state, territory, or province from 

the map or drop box below. You should search in every state where you have lived. 

Select a State

The Information presented on this site is for information purposes only. 

Copyright ©2009 National Association of Unclaimed Property Administrators. All Rights Reserved. 

Site Map | Privacy Policy | Affiliated With