LOST SECURITY 2025

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The GAO report from September 2001 evaluates the effectiveness of a 1997 SEC rule aimed at locating lost security holders. It finds that transfer agents and broker-dealers reported approximately 2% of accounts as lost, primarily due to owners failing to update their addresses. The SEC has struggled to utilize data from transfer agents effectively due to inconsistencies in reporting. The report recommends that the SEC analyze this data alongside inspection results to assess the continued need for the rule and improve compliance monitoring.

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Click ‘Get Form’ to open the LOST SECURITY document in the editor.
Begin by entering your personal information in the designated fields, including your name, address, and contact details. Ensure that all information is accurate to avoid any delays.
Next, locate the section regarding lost accounts. Here, you will need to provide details about the securities you believe are lost, including account numbers and any relevant transaction history.
In the following section, describe any attempts you have made to locate these securities. This may include contacting transfer agents or broker-dealers.
Finally, review all entered information for accuracy before submitting the form. Utilize our platform’s features to save your progress or share it directly with relevant parties for further assistance.

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