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SEC eyes transfer agents in new front against U.S. stock fraudsters

2015-01-12 10:47:21| Energy - Topix.net

In their battle to root out microcap stock fraudsters, U.S. securities regulators are turning their attention to the obscure world of transfer agents, who are sometimes in a position to prevent scams, or help to enable them. Transfer agents are back-office businesses hired by companies to keep track of shareholder records and changes in ownership.

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