Securities Transfer: Principles and Procedures |
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Page 165
... notice to the corporation or transfer agent may affect exoneration . The first is written notice that a person in whose name the security is registered as a fiduciary is no longer acting as fiduciary . The second notice is the formal notice ...
... notice to the corporation or transfer agent may affect exoneration . The first is written notice that a person in whose name the security is registered as a fiduciary is no longer acting as fiduciary . The second notice is the formal notice ...
Page 190
... notice in accordance with paragraph ( h ) of this section . Such notice shall state the number of items received for processing during the month , the number of items which the registered transfer agent failed to process in accordance ...
... notice in accordance with paragraph ( h ) of this section . Such notice shall state the number of items received for processing during the month , the number of items which the registered transfer agent failed to process in accordance ...
Page 207
... notice of any adverse claim who takes delivery of a security in bearer form or of one in registered form issued to ... Notice to Purchaser of Adverse Claims Sec . 8-304 . ( 1 ) A purchaser ( including a broker for the seller or buyer but ...
... notice of any adverse claim who takes delivery of a security in bearer form or of one in registered form issued to ... Notice to Purchaser of Adverse Claims Sec . 8-304 . ( 1 ) A purchaser ( including a broker for the seller or buyer but ...
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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