Securities Transfer: Principles and Procedures |
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Page 163
... documentation need be required for the transfer of a security to the name of a fiduciary if the assignor is the person named as the registered owner of the security . The inscription should show the fiduciary capacity and the estate or ...
... documentation need be required for the transfer of a security to the name of a fiduciary if the assignor is the person named as the registered owner of the security . The inscription should show the fiduciary capacity and the estate or ...
Page 165
... Documentation . Any request for documentation beyond a certificate of incumbency ( such as a copy of a trust instrument to evidence the appointment of a successor Trustee ) should specifically state the reason for the request ...
... Documentation . Any request for documentation beyond a certificate of incumbency ( such as a copy of a trust instrument to evidence the appointment of a successor Trustee ) should specifically state the reason for the request ...
Page 263
... documentation for sale or transfer will be accepted provided that , among other things , each submission is limited to a separate deposit ticket and accompanied by appropriate documentation authorizing the sale or transfer of the ...
... documentation for sale or transfer will be accepted provided that , among other things , each submission is limited to a separate deposit ticket and accompanied by appropriate documentation authorizing the sale or transfer of the ...
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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