17 CFR 240.15b1-6
§ 240.15b1-6 Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 240.15b1-6, § 240.15b1-6 Notice to brokers and dealers of requirements regarding lost securityholders and unresponsive payees, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/69187
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Full text
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.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.