SEC Roundtable - Restrictive Legend Removal
SEC Roundtable - Restrictive Legend Removal
On September 26, 2017, The Securities and Exchange Commission’s (SEC) Division of Trading and Markets hosted a roundtable discussion at their headquarters in Washington, D.C., regarding combating retail investor fraud. Various market participants were represented, including legal counsel, brokers, state and federal regulators, transfer agents and securities exchanges.

Shareholder Services Association (SSA) member and SSA Legal Regulatory Committee member, Robert Franz of Broadridge Corporate Issuer Solutions, Inc., was on a panel at the SEC roundtable discussion and provided the SSA with a report on the panel’s discussion which included the topic of restrictive legend removal and the role of the transfer agent in that process.

The panelist:
  • David Becker (Equiniti Trust Company)
  • Robert Franz (Broadridge Corporate Issuer Solutions)
  • Mark Harmon (Hodgson Russ LLP)
  • Andrea Manning (Computershare)
Please feel free to review his very informative report on the panel’s discussion on Restrictive Legend Removal by clicking the attachment below.

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