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Unclaimed Property in the Securities Industry Webinar
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Nov. 14, 2013
1:00 p.m. - 2:00 p.m. (Eastern Time)

During this webinar, our panel of speakers, John Buonomo with American Stock Transfer, Dana Terry with DST Systems,  and David Weber with Deutsche Bank, who represent a wide depth of knowledge with respect to broker/dealers, mutual funds, and transfer agents, will discuss:
  • General compliance issues relating to the reporting of unclaimed securities & mutual funds
  • Irregularities across State reporting requirements
  • Current audit environment and enforcement activities
  • How to stay informed about your third party’s reporting practices
  • Implementation of SEC Rule 17Ad-17
Register now and join us from the comfort of your own office! You are welcome to train multiple employees in one location with only one webinar connection, and one CPE credit is available per connection upon completion of the webinar.

NEW: UPPO members may purchase additional connections in the same transaction for multiple locations, or for an additional attendee to be eligible for CPE credit, at a reduced $79 rate!

Registration Fees

UPPO Member


UPPO Member Additional Connection


Non-UPPO Member


Unclaimed Property State Administrator


 Instructions for the webinar connection and conference line will be distributed via email on Nov. 13, 2013.

Prerequisite: Must meet eligibility requirements to attend UPPO events. Click here to view the Eligibility Requirements

Advance Preparation:  None 

Learning Objective: Attendees will receive intermediate information on unclaimed property compliance issues and irregular state reporting requirements in the securities industry. Details such as audit issues, third party administrator nuances and the implementation of SEC Rule 17Ad-17 will be discussed. Presenters will share their experiences and suggestions for best practices. 

Delivery Method:  Webinar - Internet Based

Program Level: All 

No refunds will be made after registration is accepted. Webinar cancellations, registration charges, refund requests, and information regarding administrative polices and/or complaints, are to be directed to the UPPO Association Manager, Jackie Cote at 508-883-9065 or

Unclaimed Property Professionals Organization is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:
For questions about CPE credits contact: Jackie Cote at 508-883-9065 or

This presentation will not constitute legal, financial, accounting or any other type of advice. It will be provided solely for educational and informational purposes for the attendees of this webinar which is sponsored by UPPO. Attendees are urged to consult with their own attorneys and other advisers about their particular facts and circumstances.

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