General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 17Ad-8 -- Securities Position Listings
For purposes of this section, the term securities
position listing means, with respect to the securities of any issuer held by
a registered clearing agency in the name of the clearing agency or its nominee, a
list of those participants in the clearing agency on whose behalf the clearing agency
holds the issuer's securities and of the participants' respective positions in such
securities as of a specified date.
Upon request, a registered clearing agency shall furnish
a securities position listing promptly to each issuer whose securities are held in
the name of the clearing agency or its nominee. A registered clearing agency may
charge issuers requesting securities position listings a fee designed to recover
the reasonable costs of providing the securities position listing to the issuer.
Notice to Users: The Deskbook is made available
with the understanding that the University of Cincinnati College
of Law is not engaged in rendering legal, accounting or other professional
services. If legal advice or other expert assistance is required,
the services of a competent professional person should be sought. See Terms and Conditions of Use.
