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When a client does not maintain its own stock records, the auditor should obtain a written confirmation from the transfer agent and registrar concerning: 1

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When a client does not maintain its own stock records, the auditor should obtain a written confirmation from the transfer agent and registrar concerning:

1.       restrictions on the payment of dividends.

2.       guarantees on preferred stock liquidation value.

3.       the number of shares subject to agreements to repurchase.

4.       the number of shares issued and outstanding.