Securities Transfer: Principles and Procedures |
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Page 241
... copy 1 of the withdrawal request . The participant must : Prepare DTC Transfer Control form , limiting the form to one issue , one denominational request , and making sure copy 5 bears the firm's facsimile signature and all copies have ...
... copy 1 of the withdrawal request . The participant must : Prepare DTC Transfer Control form , limiting the form to one issue , one denominational request , and making sure copy 5 bears the firm's facsimile signature and all copies have ...
Page 252
... copy 3 . If any of the securities pledged are to be used the next day to cover CNS short positions or for deliveries ... copy 4 . DTC will : • Receive copies 1 , 2 , and 5 of pledge / release form from pledgee . Follow normal pledge ...
... copy 3 . If any of the securities pledged are to be used the next day to cover CNS short positions or for deliveries ... copy 4 . DTC will : • Receive copies 1 , 2 , and 5 of pledge / release form from pledgee . Follow normal pledge ...
Page 283
... copies 3 and 4 of the WGS form , with the GB622 form , to the FRBNY for validation . When the FRBNY returns the validated copy 3 of the WGS form and a receipted copy of the GB622 form to DTC ( usually later the same day ) , DTC will ...
... copies 3 and 4 of the WGS form , with the GB622 form , to the FRBNY for validation . When the FRBNY returns the validated copy 3 of the WGS form and a receipted copy of the GB622 form to DTC ( usually later the same day ) , DTC will ...
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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