Securities Transfer: Principles and Procedures |
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Page 138
... broker . These envelopes are initiated when a regular transfer enve- lope is not available and are delivered to the area center along with regular envelopes for processing . BROKER - ORIGINATED WINDOW TICKET ( BOWT ) The use of broker ...
... broker . These envelopes are initiated when a regular transfer enve- lope is not available and are delivered to the area center along with regular envelopes for processing . BROKER - ORIGINATED WINDOW TICKET ( BOWT ) The use of broker ...
Page 211
... broker acquires possession of a security specially indorsed to or issued in the name of the purchaser ; or ( c ) his broker sends him confirmation of the purchase and also by book entry or otherwise identifies a specific security in the ...
... broker acquires possession of a security specially indorsed to or issued in the name of the purchaser ; or ( c ) his broker sends him confirmation of the purchase and also by book entry or otherwise identifies a specific security in the ...
Page 227
... broker - dealer . Trade Date +1 . DTC furnishes each institution with its confirma- tions and forwards a listing of unacceptable trades as well as printed confirmations to the broker - dealer . DTC : • Forwards printed confirmations and ...
... broker - dealer . Trade Date +1 . DTC furnishes each institution with its confirma- tions and forwards a listing of unacceptable trades as well as printed confirmations to the broker - dealer . DTC : • Forwards printed confirmations and ...
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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