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UUPA: Securities Issues webinar

Tuesday, Jan. 24; 2 - 3 p.m. EST

Cost: Free with membership


The 2016 Uniform Unclaimed Property Act (UUPA) addresses a number of the securities industry’s qualms created by the 1995 UUPA, and during this webinar you’ll hear how the Uniform Law Commission landed on the issues that specifically impact the securities industry, what UPPO’s positions are on those issues, and how we intend to represent holder interests in state legislatures. Some of the issues that will be specifically addressed are: definition of security, securities-specific presumption of abandonment triggers and indications of interest, reporting of non-transferable securities, DMF matching expectations, etc. There will be time for Q&A with the speakers.


This webinar is a part of the UUPA webinar series that UPPO is hosting free for members in January. UUPA: Legal Arguments Webinar (Wednesday, Jan. 11; noon – 1 p.m. EST) and UUPA: Practical Issues Webinar (Wednesday, Jan. 4; 1 – 2 p.m. CST/2 – 3 p.m. EST).


Learning objectives

  • Understand UPPO's positions of key issues impacting the securities industry

  • Learn the final UUPA language of the securities-specific provisions

Education level



William S. King, senior manager, state and local tax, unclaimed property, KPMG LLP & co-chair, UPPO UUPA Review Work Group

Dana Terry, sr. regulatory compliance analyst, DST Systems Inc. & immediate past president, UPPO

Debbie L. Zumoff, J.D., chief compliance officer & national consulting practice leader, Keane & ex-officio liaison, UPPO Government Relations and Advocacy Committee

Webinar schedule

UUPA: Securities Issues webinar

Tuesday, Jan. 24; 2 - 3 p.m. EST





CPE credits

For webinars eligible for CPE credit, you must have your own connection to be eligible to receive the CPE credit. You are welcome to train multiple employees in one location with only one webinar connection. One CPE credit is available per connection, upon completion of the webinar.


Prerequisite: Must meet eligibility requirements to attend UPPO events.

Advance preparation: None
Delivery method: Webinar - internet based

Field of study: Management Advisory Services
Program level: All  


Unclaimed Property Professionals Organization is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:

For questions about CPE credits contact: Shannon Wild at 763-253-4341 or


Cancellation policy

No refunds will be made after the registration is processed. Webinar cancellations, registration charges, refunds,  requests, and information regarding administrative polices and/or complaints, are to be directed to 763-253-4340 or


Legal disclaimer

This presentation will not constitute legal, financial, accounting or any other type of advice. It will be provided solely for educational and informational purposes for the attendees of this webinar which is sponsored by UPPO. Attendees are urged to consult with their own attorneys and other advisers about their particular facts and circumstances.

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