Telephone access to the instructor for one year is included. It is for executives and staff who are responsible for transferring securities or for transfer agent relations. It will cover the fundamentals and history of securities transfer, formats and registrations of stock and bond certificates, the duties of the transfer agent, and the medallion signature guarantee programs. Types of registration formats and transfer requirements will also be covered. SEC transfer agent rules will be discussed as they relate to SEC examinations.
Participants have access to the instructor for one year.
The seminar is essential for those who must comply with these rules and statutes. Participants will receive Federal Regulations for Transfer Agents. It will be held in the fall. This comprehensive survey, developed by us with the Rutgers University Graduate School of Management, includes 900 client evaluations of twenty leading North American commercial equity transfer agents. The survey form is also included.