Examination Response #7
This August 13, 2025 letter follows an examination meeting held that morning. It records follow-up questions about the transfer agent's principal office, the maintenance of issuance dates for imported holdings, and the relationship between internal records and publicly available ledger information.
Topics covered
- Updating the principal-office address reported on transfer-agent forms
- Operational and physical-security considerations associated with that address
- Maintaining issue or acquisition dates for imported securityholder positions
- Claimable-balance records and migration from legacy entries to registered accounts
- Correction of basis information and reconciliation of internal and public records
- Proposals for maximizing useful public information without publishing personal information