When you purchase a holding to keep in the direct registration system, you should advise either your stock broker or the company issuer to notate specific brokerage details in the issuer's records. If you do not have your brokerage's specifics specified in the issuing company's system at the time of purchase and later decide to or if you decide to change the broker specifics in the issuing company's system, you may do so.

You could contact either your firm's or the issuing company to obtain details on the ways and the paperwork needed for these moves. You should keep in mind that to modify or add a broker at the moment you decide to trade your position thru your broker could make a slight slow-down in getting the securities to your brokerage in time for settlement.

You should immediately notify the issuing company of the loss or theft and ask for a replacement share certificate. If you have an account with a firm, you can demand your firm to notify the issuer for you. Other financial institutions where you have accounts, like banks, may also tell the issuing company for you if you desire. The issuer can ask you to complete an affidavit providing the reasons of the missing shares. You will be required to pay the cost of an indemnity bond to assure the originator from future claims on the shares. (Indemnity bonds usually cost approximately 2% of the price of the shares.

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