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  • Rule 14a-1 under the Exchange Act [17 CFR 240.14a-1] defines the term ???record holder??? for purposes of Rules 14a-13, 14b-1 and 14b-2 [17 CFR 240.14a-13, 14b-1, 14b-2] to mean any broker, dealer, voting trustee, bank, association or other entity that exercises fiduciary powers which holds securities on behalf of beneficial owners and deposits such securities for safekeeping with another bank.
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