Securities Transfer: Principles and Procedures |
From inside the book
Results 1-3 of 48
Page 84
... Distribution and Sale Under a Court Order If a court order authorizes the distribution of shares to various bene- ficiaries and if the proposed transfer is to be effected to the name of only one beneficiary , stock powers signed by all ...
... Distribution and Sale Under a Court Order If a court order authorizes the distribution of shares to various bene- ficiaries and if the proposed transfer is to be effected to the name of only one beneficiary , stock powers signed by all ...
Page 121
... distribution . It must also be established that the person is not offering or selling for an issuer in connection with the distribution of the securities , does not participate or have a direct or indirect participation in any such ...
... distribution . It must also be established that the person is not offering or selling for an issuer in connection with the distribution of the securities , does not participate or have a direct or indirect participation in any such ...
Page 284
... distribution . Withdrawal requests for bearer securities submitted by participants to DTC up through the afternoon of the second business day prior to an interest payment date are reflected in participants ' closing DTC positions and ex ...
... distribution . Withdrawal requests for bearer securities submitted by participants to DTC up through the afternoon of the second business day prior to an interest payment date are reflected in participants ' closing DTC positions and ex ...
Other editions - View all
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