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Sarbanes-Oxley Solution: Schwab Section 16 Center™
Streamline Sarbanes-Oxley reporting with Section 16 Center—the Schwab solution that combines proactive personal service with an innovative Web-based tool.
Technology and Personal Service you can Trust
You can track and manage holdings for all of your Section 16 reporting individuals through Schwab's Section 16 Center—a combination of a holdings database, an automated pre-trade clearance system, and an electronic filing tool with reporting capabilities.
Section 16 Center Delivers
- Streamlined holdings management and Section 16 reporting
- Compliance with, and control over, Section 16 Officer reporting
- Flexibility to accommodate all transactions, whether processed at Schwab or with another firm
Key Functionality
- Customizable pre-transaction verification process
- Creation of Forms 3, 4 and 5 with one-button electronic filing in the SEC's XML-based format
- Tracking and monitoring of Section 16 Officer transactions from approval to settlement
- And more
Personalized Customer Service
A team of skilled Schwab Section 16 Services Specialists will provide you and your executives the resources you need. Schwab's Section 16 Services Team offers a customized approach to coordinating both your company and officer needs for effectiveness and efficiency.
Our team of highly trained brokerage professionals is available to assist you with affiliate transactions from 9am to 9pm ET every business day. Call us at 1-877-804-3529.
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