Securities Transfer: Principles and Procedures |
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Page 230
... acknowledged on either trade data + 1 or trade date + 2 and in which the security is ineligible for delivery through DTC to the broker - dealer and agent bank . The broker - dealer : Receives by 9:00 A.M. ( Eastern time ) Deliver and ...
... acknowledged on either trade data + 1 or trade date + 2 and in which the security is ineligible for delivery through DTC to the broker - dealer and agent bank . The broker - dealer : Receives by 9:00 A.M. ( Eastern time ) Deliver and ...
Page 231
... acknowledged on trade date + 3 . • Receives Deliver and Receive Instruction Forms for those DTC - ineligible trades acknowledged on trade date + 3 . Preparing for Delivery ID / PDQ - Non - Segregated Position Option The delivering party ...
... acknowledged on trade date + 3 . • Receives Deliver and Receive Instruction Forms for those DTC - ineligible trades acknowledged on trade date + 3 . Preparing for Delivery ID / PDQ - Non - Segregated Position Option The delivering party ...
Page 324
... acknowledged before an officer having authority to take acknowledgments under the laws of the state in which such instruments are executed and shall bear the seal of the signing office , if required by statute . Any alteration or ...
... acknowledged before an officer having authority to take acknowledgments under the laws of the state in which such instruments are executed and shall bear the seal of the signing office , if required by statute . Any alteration or ...
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Common terms and phrases
American Stock Exchange appointment authorized bank bearer bonds broker business day CALL FOR REDEMPTION certified copy City coupon coupon bond court order CUSIP number Cust for Mary custodian bank DEBENTURE DUE DEBENTURE HEREIN MENTIONED decedent DELAWARE CORPORATION delivered delivery deposit ticket dividend documentation DTC's endorsement executed executor or administrator facsimile signature fiduciary fifth business filed FRBNY free account Gifts to Minors guardian holder HOUSEHOLD FINANCE CORPORATION Indenture inheritance tax waiver Interest payable issue issuer John Doe joint tenants LIC AND PRIVATE Manhattan Mary Doe member corporation No.M nominee notice notify officer ownership participant person pledge power of substitution PREVIOUSLY HAVE BECOME principal amount PRIVATE DEBTS procedures purchaser received record date registered transfer agent registrar right of survivorship Rule Section settlement Stock Exchange Tenants in common tenants with right thereof transaction trust company trust instrument UNLESS THE DEBENTURE Vital Records withdrawal York York Stock Exchange