Edit, Download, and Sign the Request for U.S. NOBO List Instructions and Guidelines
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How do I fill this out?
To fill out this form, ensure that you provide accurate company information and a valid record date. Each section of the form requires specific details, so pay close attention to the instructions. Review your entries before submitting the form to avoid any issues.
How to fill out the Request for U.S. NOBO List Instructions and Guidelines?
1
Fill in your company information accurately.
2
Provide the valid record date at least two business days in advance.
3
Select the intended use of the NOBO data.
4
Choose the format and media type for the list.
5
Sign and submit the request to Broadridge U.S.
Who needs the Request for U.S. NOBO List Instructions and Guidelines?
1
Corporations seeking to reach out to their shareholders.
2
Financial institutions needing shareholder information for compliance.
3
Investors wanting to verify their holdings.
4
Management teams looking to communicate effectively with stakeholders.
5
Legal firms requiring shareholder lists for corporate actions.
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What are the instructions for submitting this form?
To submit the NOBO request form, email it to BSGIssuerServices@Broadridge.com or send it via fax to 631-254-7622. You can also mail it to Broadridge U.S., 51 Mercedes Way, Edgewood, NY 11717. Be sure to include all required information in the request to prevent delays.
What are the important dates for this form in 2024 and 2025?
Ensure that you pay attention to future record dates when planning your NOBO requests. Record dates must be set at least two business days in advance from the submission date. Plan ahead for 2024 and 2025 to avoid delays.
What is the purpose of this form?
The purpose of this form is to facilitate the request for a U.S. NOBO list. It enables companies to access essential shareholder information necessary for corporate communication. Proper use of this form helps ensure compliance with SEC regulations and enhances shareholder relations.
Tell me about this form and its components and fields line-by-line.
- 1. Company Info: Basic details about the requesting company.
- 2. Record Date(s): The date for which the NOBO list is being requested.
- 3. Intended Use: Purpose for which the NOBO list will be used.
- 4. Additional Reports: Optional reports that can be requested along with the NOBO list.
- 5. Media Type: Format in which the NOBO data will be provided.
- 6. Shipping Address: Where the NOBO list will be sent.
- 7. Requestor Information: Contact details of the person submitting the request.
What happens if I fail to submit this form?
Failure to submit this form correctly might result in delays or an unfulfilled request. It's crucial to review all entries to ensure accuracy. Missing information may further complicate the process, impacting the speed of delivery.
- Incomplete Information: Missing fields may slow down or invalidate your request.
- Verification Issues: If verification cannot be performed, your request may not be processed.
- Submission Errors: Errors in records might lead to sending outdated information.
How do I know when to use this form?
- 1. Corporate Communication: When planning to inform shareholders of significant news.
- 2. Regulatory Compliance: To adhere to SEC requirements regarding shareholder identification.
- 3. Shareholder Meetings: Necessary for reaching out to shareholders before a meeting.
Frequently Asked Question
How do I request a U.S. NOBO list?
Fill out the NOBO Request Form and submit it to Broadridge via email or fax.
What information do I need to provide?
You must include your company details, the valid record date, and your intended use of the NOBO list.
What formats can I request for the NOBO list?
You can request hardcopy, CD, or peel and stick label formats.
How long does it take to receive my NOBO list?
Expect your NOBO list to arrive within five business days after the record date.
Can I cancel my NOBO request?
Yes, but if canceled after the record date, you will be charged the full cost.
What if my request is not verified?
If not verified with an officer, the NOBO list will be generated but not shipped.
Is there a minimum fee for the NOBO list?
Yes, the minimum fee is $100 for up to 10,000 accounts.
How do I contact Broadridge for help?
Call Broadridge at (631) 254-7067 for additional assistance.
What happens if I submit an incomplete form?
Your request may be delayed or denied if any required information is missing.
Can I choose to receive reports along with the NOBO list?
Additional reports can be requested separately and are not included with the NOBO listing.
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