Category Archives: Broker/Dealer Regulation
DWAC’s Role in Stocks, Shares and Securities
DWAC stands for Deposit/Withdrawal at Custodian. It is an electronic transaction system run by The [...]
15
Jan
Jan
What is a Company Stock Transfer Agent?
A stock transfer agent is an agency, usually a bank, that keeps track of the [...]
Restricted Securities Holding Period and Tacking
Tacking can be a complicated analysis and must be reviewed in light of all of [...]
Restricted Securities Holding Period and Tacking
Tacking can be a complicated analysis and must be reviewed in light of all of [...]
Restricted Securities Holding Period and Tacking
Tacking can be a complicated analysis and must be reviewed in light of all of [...]
Final Rules Implementing the Volcker Rule
The Securities and Exchange Commission released a statement on Tuesday saying that five federal agencies [...]
Final Rules Implementing the Volcker Rule
The Securities and Exchange Commission released a statement on Tuesday saying that five federal agencies [...]