Source: http://ecfr.io/Title-17/se17.4.240_117f_61
Timestamp: 2020-01-21 06:30:06
Document Index: 101765167

Matched Legal Cases: ['§240', 'art 240', '§240', 'art 240', '§240', 'art 240', '§240', '§240', '§240', '§240']

[17 CFR §240.17f-1] Title 17 Part 240 → §240.17f-1 : Code of Federal Regulations ';
Title 17 Part 240 → §240.17f-1
Title 17 → Chapter II → Part 240 → §240.17f-1
§240.17f-1 Requirements for reporting and inquiry with respect to missing, lost, counterfeit or stolen securities.
(iii) Cancelled, which for this purpose means either or both of the procedures set forth in §240.17Ad-19(a)(1); or
(ii) A transfer agent claims or believes was destroyed in any manner other than by the transfer agent's own certificate destruction procedures as provided in §240.17Ad-19.
(c) Reporting requirements—(1) Stolen securities. (i) Every reporting institution shall report to the Commission or its designee, and to a registered transfer agent for the issue, the discovery of the theft or loss of any securities certificates where there is substantial basis for believing that criminal activity was involved. Such report shall be made within one business day of the discovery and, if the certificate numbers of the securities cannot be ascertained at that time, they shall be reported as soon thereafter as possible.
(7) Forms. Reporting institutions shall make all reports to the Commission or its designee and to a registered transfer agent for the issue pursuant to this section on Form X-17F-1A. Reporting institutions shall make reports to the Federal Bureau of Investigation pursuant to this Section on Form X-17F-1A, unless the reporting institution is a member of the Federal Reserve System or a bank whose deposits are insured by the Federal Deposit Insurance Corporation, in which case reports may be made on the form required by the institution's appropriate regulatory agency for reports to the Federal Bureau of Investigation.
(d) Required inquiries. (1) Every reporting institution (except a reporting institution that, acting in its capacity as transfer agent, paying agent, exchange agent or tender agent for an equity issue, or registrar for a bond or other debt issue, compares all transactions against a shareholder or bondholder list and a current list of stop transfers) shall inquire of the Commission or its designee with respect to every securities certificate which comes into its possession or keeping, whether by pledge, transfer or otherwise, to ascertain whether such securities certificate has been reported as missing, lost, counterfeit or stolen, unless:
[44 FR 31503, May 31, 1979; 45 FR 14022, Mar. 3, 1980, as amended at 53 FR 37289, Sept. 26, 1988; 53 FR 40721, Oct. 18, 1988; 68 FR 74400, Dec. 23, 2003]