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Thursday, February 24, 2011 11:47:09 AM
I posted this on Yahoo a couple of days ago, and never received a response:
"Not trying to be contentious, but I've been looking for awhile, and I can't find anything that says that a Transfer Agent needs to file a form when shares are retired and canceled.
"From my reading, it appears that the agent simply needs to keep good records, and make sure that the canceled shares are kept away from the outstanding shares, whether that's physically, as in the case of printed shares, or electronically.
"IOW, there is no filing requirement, but if the SEC asks, then the TA has to open his/her books to the SEC.
"If I'm right, and the transfer agent is behaving ethically and legally, then the only indications as to the number of outstanding shares is what the TA tells someone who calls in, or what will be printed in upcoming company filings.
"If you know differently, please give us some links, as I'm genuinely curious.
http://messages.finance.yahoo.com/Stocks_(A_to_Z)/Stocks_T/threadview?m=tm&bn=39608&tid=36284&mid=36286&tof=-1&rt=1&frt=2&off=1
So my question remains: Is there a filing requirement, and if so, where can I find it?
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