Restricted Parties Screening What are the potential liabilities for a stock transfer agent that facilitates a transfer involving a sanctioned individual?

Feb 14, 2024 ... 3, 2016, by and between the Company and American Stock Transfer ... According to information received from Equiniti, the Transfer Agent and Paying ... ... SECURITIES LAWS OR APPLICABLE EXEMPTIONS THEREFROM;. c. Issuance of stop-transfer instructions to the issuer's transfer agent with respect to the securities ... The Administrator, by order, may require the submission of additional information by an applicant. 3. An applicant for licensing as a transfer agent is not ... Sep 19, 2019 ... If you want to sell your shares of GE stock, please contact GE's current transfer agent, Equiniti Trust Company (EQ). Note that sales are ... ... company's stock transfer agent and registrar. Please see the information below, or contact Computershare for more information. Registered Owners (shares ... Viewing your account details, account balances, and transactions history; Changing your address; Certifying your tax identification number; Selling shares ... Transfer agents are not broker-dealers under Missouri law, but do play an important part in the transaction. A transfer agent keeps track of the owners of the ... ... informational materials, and travel do not apply to transactions with persons ... transfer of debt, equity, or other holdings in these entities. GL 13R ... Public Service Enterprise Group Incorporated (PSEG) uses EQ Shareowner Services as its Transfer Agent, Registrar, and Dividend Disbursing Agent for its common ... ... transfer agent Computershare, allows you to: Securely view your share balance and account history; Conduct a number of secure transactions online; Request and ...