GroundRules
17 CFR 240.15b1-6: b1-6 Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
Where this section sits in the code
- Title 17—Commodity and Securities Exchanges
- CHAPTER II—SECURITIES AND EXCHANGE COMMISSION
- PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
Brokers and dealers are hereby notified of Rule 17Ad-17 (§ 240.17Ad-17), which addresses certain requirements with respect to lost securityholders and unresponsive payees that may be applicable to them.
Collected 2026-08-27T02:24:31Z. Source file · JSON