Lost Securities Holders

News & Analysis as of

Orrick's Financial Industry Week in Review - January 7, 2013

In This Issue: *Financial Industry Developments - OCC Guidance on Transition Periods under Section 716 of the Dodd-Frank Act - CFTC Reporting of Swap Transactions and Swap Dealer Registration - Department...more

SEC Rule for Lost Holders of Securities

On December 21, 2012, the SEC approved new rules requiring broker-dealers to conduct searches for holders of securities with whom they have lost contact....more

Financial Services Bulletin: Action At The SEC

On Friday, December 21, 2012, the Securities and Exchange Commission (the "SEC") adopted amendments to Exchange Act Rule 17Ad-17 to implement the requirements of Section 929W of the Dodd-Frank Wall Street Reform and Consumer...more

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