Breadcrumb

Final Rule

Securities Position Listing Rule

Overview

The Commission is adopting a previously proposed rule requiring clearing agencies to provide securities position listings to issuers whose securities the clearing agency holds in its name or that of its nominee. A securities position listing is a list of the participants in a clearing agency on whose behalf the clearing agency holds the issuer's securities and of their positions in the issuer's securities as of a specified date.

Last Reviewed or Updated: Aug. 31, 2023