All material subject to strictly enforced copyright laws. © 2022 Euromoney Institutional Investor PLC group
Derivatives

Broker/Dealers Ordered To Track Down Securities Holders

The U.S. Securities and Exchange Commission has approved regulations under the Dodd-Frank Act that requires broker/dealers and other securities markets participants to track down holders of securities who have not processed checks in connection with their holdings.

Unlock this article.

The content you are trying to view is exclusive to our subscribers.

To unlock this article:

Take a Free Trial or Login
We use cookies to provide a personalized site experience.
By continuing to use & browse the site you agree to our Privacy Policy.
I agree