The Practical Guide For the Transfer of U.S. Equity Securities Employee Directory

Financial ServicesArizona, United States2-10 Employees

A Practical Guide for the Transfer of U.S. Equity Securities, Basic Principles and Procedures is a full-scope textbook, written in plain language, that is oriented from a practical, real-life standpoint that will better prepare transfer agents to pass SEC examinations using their current software systems.

Electronic transfer processing has had a huge push from The Depository Trust & Clearing Corporation, and from the SEC.  Cost Basis Reporting information is also vital because the IRS says all transfer agents are responsible to know, report, and pass along this information on transfers starting in January of 2011.  These subjects as well as business continuity plans, contractual agreements between issuers and transfer agents, development of internal policies and procedures for audits, electronic processing software programs, cost basis accounting and Notice & Access for proxy processing are all addressed in this new book.

The book is specifically targeted to non-attorney corporate secretaries and governance professionals, paralegals, in-house transfer agents, new employees of commercially independent transfer agencies, and those within management who have hired an outside transfer agent but want to know what should and is being done for them, as well as any transfer agent not yet involved with electronic processing or cost basis. 
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 For more information, please contact Salli Marinov of First American Stock Transfer at
602-485-1346 or 877-271-0548 or email her at salli@firstamericanstock.com

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