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Transfer Agent Regulations

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Citation Edit

Transfer Agent Regulations, Transfer Agent Regulations (Dec. 15, 2015) (full-text).

Overview Edit

Cybersecurity risks faced by the capital markets and Commission-regulated entities are of particular concern to the Commission. Given the highly-dependent, interconnected nature of the U.S. capital markets and financial infrastructure, including the National C&S System, as well as the prevalence of electronic book-entry securities holdings in that system, the Commission has a significant interest in addressing the substantial risks of market disruptions and investor harm posed by cybersecurity issues. Transfer agents are subject to many of the same risks of data system breach or failure that other market participants face.

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