Textual Modalities for: Security transfer agents
Records: Showing 20 of 902 total records
Page: 2 of 46
| Code | Title | Description | Source | Word Counts | URL |
|---|---|---|---|---|---|
| 628902.0 | SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 - SEC.govPDF | Transfer Agent Regulations (“release”) to seek public comment regarding the Commission’s trans... | Total words: 70,272 | security: 118 | transfer: 1620 | agents: 769 | View | |
| 628902.0 | FS Form 5179 Legacy Treasury Direct Security Transfer RequestPDF | External Transfer to a Financial Institution or Brokerage Firm. Failure to provide any of the follow... | Total words: 1,816 | security: 14 | transfer: 28 | agents: 3 | View | |
| 628902.0 | Investor Bulletin: Holding Your Securities | Investor.gov | The issuer (or its transfer agent) will change the registration to DRS and sell the securities using... | Total words: 4,472 | security: 31 | transfer: 71 | agents: 3 | View | |
| 628902.0 | Internal Revenue Service (IRS) Levy — TreasuryDirect | A copy of the most recent statement from the Transfer Agent or Issuer; The entity that has the secur... | Total words: 815 | security: 14 | transfer: 7 | View | |
| 628902.0 | Security Transfer Request - REGINFO.GOV | Social Security Number Employer Identification Number Department Use Reference Number PD F 5179 E De... | Total words: 1,895 | security: 10 | transfer: 33 | agents: 3 | View | |
| 628902.0 | Transfer Agent Data - SEC.govPDF | The Form Transfer Agent data provides information extracted from Transfer Agent XML submissions in a... | Total words: 5,278 | security: 3 | transfer: 33 | agents: 2 | View | |
| 628902.0 | Transfer Agent Regulations - Federal Register | The clock for turnaround under Rules 17Ad-1 and 17Ad-2 begins when a transfer agent receives an item... | Total words: 71,138 | security: 123 | transfer: 1650 | agents: 802 | View | |
| 628902.0 | eCFR :: 31 CFR 357.31 -- Certifying individuals. | The institution's seal or signature guarantee stamp; if the institution is an authorized paying agen... | Total words: 1,876 | security: 3 | transfer: 3 | agents: 3 | View | |
| 628902.0 | UNIFORM ACT FOR THE SIMPLIFICATION OF FIDUCIARY SECURITY TRANSFERSPDF | Sec. 2. A corporation or transfer agent registering a security in the name of a person who is a fidu... | Total words: 1,432 | security: 24 | transfer: 44 | agents: 2 | View | |
| 628902.0 | Instructions for Preparation of Transfer Agent Registration and ...PDF | Transfer Agent Registration and Amendment Form. INSTR UCTIONS FOR FILING AND AMENDING F or m T A-1 I... | Total words: 3,024 | security: 7 | transfer: 24 | agents: 3 | View | |
| 628902.0 | SECURITIES EXCHANGE ACT OF 1934 - SEC.govPDF | The Commission understands from transfer agents and their representatives, as well as other persons,... | Total words: 1,258 | security: 6 | transfer: 16 | agents: 12 | View | |
| 628902.0 | SEC.gov | Rule 17Ad-17; Transfer Agents', Brokers', and Dealers ... | The amendment directs the Securities and Exchange Commission ("Commission') to revise Exchange Act R... | Total words: 366 | security: 2 | transfer: 3 | agents: 7 | View | |
| 628902.0 | Bankruptcy, Settlement or Other Litigation — TreasuryDirect | A copy of the most recent statement from the Transfer Agent or Issuer; The entity that has the secur... | Total words: 646 | security: 12 | transfer: 7 | View | |
| 628902.0 | SEC Charges Transfer Agent with Violating Multiple Rules | ADMINISTRATIVE PROCEEDING File No. 3-19936. August 27, 2020 - The Securities and Exchange Commission... | Total words: 383 | transfer: 7 | agents: 1 | View | |
| 628902.0 | Security, privacy, and healthcare-related conversational agents: a ... | To identify how and to what extent security and privacy are considered in current health chatbots. .... | Total words: 1,318 | security: 8 | transfer: 1 | agents: 3 | View | |
| 628902.0 | Security Transfer Request - reginfo.gov | PD F 5179 E Department of the Treasury Bureau of the Public Debt INSTRUCTIONS FOR COMPLETING (Revise... | Total words: 1,674 | security: 10 | transfer: 30 | agents: 3 | View | |
| 628902.0 | Registration of Securities Transfer Agents - Federal Register | SUPPLEMENTARY INFORMATION: I. Background. The ’34 Act provides that an entity must register as a t... | Total words: 3,584 | security: 5 | transfer: 26 | agents: 16 | View | |
| 628902.0 | Cybersecurity Risk Management Rule for Broker-Dealers, Clearing ... | The Securities and Exchange Commission (“Commission”) is proposing a new rule and form and amend... | Total words: 344 | transfer: 3 | agents: 3 | View | |
| 628902.0 | Security Plan Guidance: Shipping and Transfers - select agents | The security plan must contain provisions and policies for shipping, receiving, and storage of selec... | Total words: 757 | security: 10 | transfer: 4 | agents: 11 | View | |
| 628902.0 | Supporting Statement for the Transfer Agent Registration and Amendment ...PDF | In general, an entity performing transfer agent functions for a security is required to register if ... | Total words: 1,575 | security: 6 | transfer: 28 | agents: 9 | View |
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