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SEC Rule Making
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SEC rule making as a result of congressional laws, shareholder protection, orderly markets, sound clearance and settlement system. In addition, the SEC approves rules submitted by various SROs (Self Regulatory Organization).

Why Issuers Should Care
  • Rules filed and approved by the SEC for certain SRO’s such as the NYSE, NASDAQ, FINRA, and DTC can affect the issuer’s responsibility, the transfer agents responsibility or both.
  • Rules created and approved by the SEC can affect the issue’s responsibility, the transfer agent’s responsibility or both.
  • Failure to comply with rules will result in penalty fines and could lead to other regulatory actions.