Securities Transfer: Principles and Procedures |
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Page 163
... appointment or incumbency of such fiduciary . ( See 1.07 , 5.03 , 5.04 . ) The nature of the transfer is of no consequence , and the Rule applies to a transfer to the fiduciary as such , to a purchaser , the ward , or a nominee , or to ...
... appointment or incumbency of such fiduciary . ( See 1.07 , 5.03 , 5.04 . ) The nature of the transfer is of no consequence , and the Rule applies to a transfer to the fiduciary as such , to a purchaser , the ward , or a nominee , or to ...
Page 215
... appointment or incumbency " in sub- section ( 1 ) means ( a ) in the case of a fiduciary appointed or qualified by a court , a certi- ficate issued by or under the direction or supervision of that court or an officer thereof and dated ...
... appointment or incumbency " in sub- section ( 1 ) means ( a ) in the case of a fiduciary appointed or qualified by a court , a certi- ficate issued by or under the direction or supervision of that court or an officer thereof and dated ...
Page 306
... appointment , such appointment shall not become effective until the new registrar has so qualified . Time of Notice to Exchange : If the new appointee has not previously been formally accepted by the Exchange as transfer agent and / or ...
... appointment , such appointment shall not become effective until the new registrar has so qualified . Time of Notice to Exchange : If the new appointee has not previously been formally accepted by the Exchange as transfer agent and / 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