Navigating Changes to Securities Rule 152c11 in Salt Lake City, UT

by | Sep 14, 2021 | Financial Services

Securities transfer agents have several important roles. One of the most essential is helping corporate executives build and maintain positive shareholder relationships. Transfer agents support this by providing the knowledge and capability to navigate changing securities regulations, so executives can make the best decisions for their shareholders.

For example, the Securities and Exchange Commission (SEC) governs 152c11, an important rule. A broker-dealer, or transfer agent, must review key information about a securities issuer prior to initiating or reviewing quotes for security.

New Changes to Rule 152c11

The new amendment to this important rule focuses on disclosure and investor protection, specifically in the over-the-counter (OTC) retail markets. Transfer agents must cease publication of quotations for security when issuer information is not currently/publicly available, with a few exceptions. Any transfer agent complying with 152c11 in Salt Lake City, UT, or other location must understand the conditions under which these amendments take effect.

The new amendments consider technological advancements since the rule’s last update over thirty years ago. It requires more timely information so investors can make better decisions. If you are a corporate executive or investor trying to navigate 152c11 in Salt Lake City, UT, or elsewhere, your transfer agent must be at the forefront of these changes.

Visit to learn more about how Colonial Stock Transfer helps corporate executives create positive shareholder relationships through successful stock transfers. In business for nearly 35 years, it is registered and in good standing with the Securities and Exchange Commission.

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