Textual Modalities for: Security transfer agents
Records: Showing 20 of 902 total records
Page: 3 of 46
| Code | Title | Description | Source | Word Counts | URL |
|---|---|---|---|---|---|
| 628902.0 | DTC Chills and Freezes - Investor.gov | The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educ... | Total words: 1,315 | security: 20 | transfer: 10 | View | |
| 628902.0 | NONPROBATE TRANSFERS ON DEATH - Mass.govPDF | to register the title in transfer-on-death (TOD) form. Mutual fund shares and accounts maintained by... | Total words: 5,223 | security: 46 | transfer: 34 | agents: 2 | View | |
| 628902.0 | SECURITIES AND EXCHANGE COMMISSION I. - SEC.govPDF | Requirements for Transfer Agents . I. Introduction. On October 12, 2006, The Depository Trust Compan... | Total words: 8,424 | security: 9 | transfer: 197 | agents: 115 | View | |
| 628902.0 | Proposed rule: Cybersecurity Risk Management Rule for Broker-Dealers ...PDF | Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Ass... | Total words: 154,779 | security: 364 | transfer: 213 | agents: 140 | View | |
| 628902.0 | Donations to a Federal Executive Agency — TreasuryDirect | A copy of the most recent statement from the Transfer Agent of Issuer; The entity that has the secur... | Total words: 559 | security: 11 | transfer: 7 | View | |
| 628902.0 | Proposed Rule: S7-18-00 - SEC.gov | The transfer agent agreed to pay a civil penalty of $100,000 and to cease and desist from future vio... | Total words: 8,056 | security: 6 | transfer: 116 | agents: 66 | View | |
| 628902.0 | Medallion Signature Guarantees: Preventing the Unauthorized Transfer of ... | If you hold securities in physical certificate form and want to transfer or sell them, you will need... | Total words: 615 | transfer: 12 | agents: 2 | View | |
| 628902.0 | CHAPTER 441. FIDUCIARY SECURITY TRANSFERS UNIFORM STOCK TRANSFER ACT ...PDF | Sec. 2. A corporation or transfer agent registering a security in the name of a person who is a fidu... | Total words: 1,459 | security: 25 | transfer: 45 | agents: 2 | View | |
| 628902.0 | Recordkeeping Requirements for Registered Transfer Agents | We estimate that approximately 60 transfer agents will use a third party to escrow the required sour... | Total words: 4,867 | security: 1 | transfer: 104 | agents: 63 | View | |
| 628902.0 | THE SECURITIES TRANSFER ASSOCIATION, INC. - SEC.govPDF | transfer agents in the United States (U.S.) and Canada maintaining the records of more than 100 mill... | Total words: 27,537 | security: 13 | transfer: 543 | agents: 330 | View | |
| 628902.0 | FAQ: Personnel Suitability Assessment - select agents | The Federal Select Agent Program oversees the possession, use and transfer of select agents and toxi... | Total words: 1,555 | security: 8 | transfer: 1 | agents: 14 | View | |
| 628902.0 | SECURITIES AND EXCHANGE COMMISSION - SEC.govPDF | Section 17A(c)(1) of the Act requires an entity that performs the function of a transfer agent with ... | Total words: 24,537 | security: 15 | transfer: 411 | agents: 198 | 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: 1,429 | security: 6 | transfer: 26 | agents: 8 | View | |
| 628902.0 | Corporate Trust | OCC - Office of the Comptroller of the Currency (OCC) | The term "corporate trust" covers the business activities of financial services companies and banks ... | Total words: 287 | security: 1 | transfer: 6 | agents: 1 | View | |
| 628902.0 | FAQ: Select Agents & Toxins | Compliance | Federal Select Agent Program | The select agent regulations can be found at 42 CFR Part 73, 9 CFR Part 121, and 7 CFR Part 331. The... | Total words: 3,491 | security: 9 | transfer: 10 | agents: 40 | View | |
| 628902.0 | Issuer Restrictions or Prohibitions on Ownership by Securities ... | (a) Except as provided in paragraph (c) of this section, no registered transfer agent shall transfer... | Total words: 12,586 | security: 56 | transfer: 143 | agents: 39 | View | |
| 628902.0 | §240.17Ad–10 - GovInfoPDF | the registered transfer agent that maintains and updates the master securityholder file. (i) A co-tr... | Total words: 1,872 | security: 6 | transfer: 61 | agents: 10 | View | |
| 628902.0 | 1082 Federal Register I Vol. 57, No.7 I Friday. January I Rules and ...PDF | transfer agent or Commission mandated signature guarantee program.8 As explained in the Proposing Re... | Total words: 16,097 | security: 22 | transfer: 315 | agents: 172 | View | |
| 628902.0 | Cybersecurity Risk Management Rule for Broker- Dealers, Clearing ...PDF | Security-Based Swap Participants, the Municipal Securities Rulemaking Board, National Securities Ass... | Total words: 3,254 | security: 19 | transfer: 2 | agents: 2 | View | |
| 628902.0 | Recordkeeping Requirements for Transfer Agents - Federal Register | The proposed requirement was intended to assist the Commission or the transfer agent's ARA to access... | Total words: 14,390 | security: 10 | transfer: 277 | agents: 188 | View |
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