Securities Transfer: Principles and Procedures |
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Page 122
... issuer is a person that directly , or indirectly through one or more intermediaries , controls , or is controlled by , or is under common control with , such issuer . ( 2 ) The term " person " when used with reference to a person for ...
... issuer is a person that directly , or indirectly through one or more intermediaries , controls , or is controlled by , or is under common control with , such issuer . ( 2 ) The term " person " when used with reference to a person for ...
Page 216
... issuer is charged with notice of an adverse claim from a controlling instrument which it has elected to require under subsection ( 4 ) of Section 8-402 . ( 2 ) The issuer may discharge any duty of inquiry by any reasonable means ...
... issuer is charged with notice of an adverse claim from a controlling instrument which it has elected to require under subsection ( 4 ) of Section 8-402 . ( 2 ) The issuer may discharge any duty of inquiry by any reasonable means ...
Page 217
... issuer is not liable to the owner or any other person suffering loss as a result of the registration of a transfer of a security if ( a ) there were on or with the security the necessary indorsements ( Section 8-308 ) ; and ( b ) the issuer ...
... issuer is not liable to the owner or any other person suffering loss as a result of the registration of a transfer of a security if ( a ) there were on or with the security the necessary indorsements ( Section 8-308 ) ; and ( b ) the issuer ...
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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