Whitepapers

SEC Rule 17Ad-17 for Brokerage Firms

As a result of the recent amendments to SEC Rule 17Ad-17, the broker dealer industry must now comply with Federal regulations to locate missing securityholders, in addition to providing notices for uncashed checks.

To help you understand the new requirements, the experts at Keane have developed a free whitepaper, “SEC Rule 17Ad-17 for Brokerage Firms.“

Locate Missing Securityholders

SEC 17Ad-17 searches can help broker dealers reduce their population of missing investors by up to 60%.

Maximize Account Retention

Through these proactive search measures, Keane helps brokerage firms reduce their number of escheatable accounts and protect tens of millions of dollars in assets.

Come Into Compliance… Quickly

The experts at Keane can help you implement the policies and procedures to become compliant.

Trust the Experts

Keane is the #1 provider of Unclaimed Property Services to retail financial services firms & has conducted millions of 17Ad-17 Searches.

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