Textual Modalities for: Security transfer agents
Records: Showing 20 of 902 total records
Page: 4 of 46
| Code | Title | Description | Source | Word Counts | URL |
|---|---|---|---|---|---|
| 628902.0 | Processing Requirements for Cancelled Security Certificates | transfer agent keep a readily retrievable record of each destroyed certificate or certificate otherw... | Total words: 13,312 | security: 10 | transfer: 240 | agents: 147 | View | |
| 628902.0 | UNITED STATES SECURITIES AND OMB Approval EXCHANGE COMMISSION ... - SEC.govPDF | other registrants withdraw from registration as a transfer agent with their appropriate regulatory a... | Total words: 2,241 | security: 4 | transfer: 34 | agents: 4 | View | |
| 628902.0 | Reporting Forms - Federal Reserve Board | Form TA-1 Transfer Agent Registration and Amendment Form Form: Current (211.8 KB .PDF) Instructions:... | Total words: 507 | transfer: 6 | agents: 2 | View | |
| 628902.0 | Cybersecurity Risk Management Rule for Broker-Dealers, Clearing ... | Investors also would face harm if a transfer agent's functions were disrupted or degraded by a signi... | Total words: 153,654 | security: 187 | transfer: 227 | agents: 156 | View | |
| 628902.0 | Lost or Stolen Stock Certificates - Investor.gov | Brokerage firms, banks, transfer agents and corporations have procedures in place to help investors ... | Total words: 679 | transfer: 9 | agents: 1 | View | |
| 628902.0 | Securities Transfer Association of Canada - SEC.govPDF | Dematerialization is the processes of eliminating physical certificates as a record of security owne... | Total words: 3,841 | security: 4 | transfer: 34 | agents: 11 | View | |
| 628902.0 | SANDWORM ACTORS EXPLOITING VULNERABILITY IN EXIM MAIL TRANSFER AGENTPDF | National Security Agency | Cybersecurity Advisory SANDWORM ACTORS EXPLOITING VULNERABILITY IN EXIM M... | Total words: 948 | security: 6 | transfer: 4 | View | |
| 628902.0 | FAQ: Security Risk Assessment | Compliance - select agents | An SRA is the electronic records check performed by the Federal Bureau of Investigation (FBI), Crimi... | Total words: 4,702 | security: 23 | transfer: 2 | agents: 76 | View | |
| 628902.0 | UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION ...PDF | 17Ad-12 thereunder by registered transfer agent American Stock Transfer by failing to assure that: (... | Total words: 2,419 | security: 10 | transfer: 25 | agents: 2 | View | |
| 628902.0 | COLLATERAL PLEDGE AND SECURITY AGREEMENT - Bureau of the Fiscal ServicePDF | FS Form 5903 Department of the Treasury | Bureau of the Fiscal Service Revised May 2015 Previous edi... | Total words: 2,352 | security: 17 | transfer: 2 | agents: 3 | View | |
| 628902.0 | Legislation | Resources | Federal Select Agent Program | CDC | The Federal Select Agent Program oversees the possession, use and transfer of select agents and toxi... | Total words: 439 | security: 2 | transfer: 1 | agents: 1 | View | |
| 628902.0 | Recordkeeping Requirements for Registered Transfer Agents | The U.S. Securities and Exchange Commission is proposing for public comment two amendments to its ru... | Total words: 3,689 | security: 1 | transfer: 64 | agents: 38 | View | |
| 628902.0 | Form T-6, Application Under Section 310(a)(1) of the Trust Indenture ...PDF | is not in default, or (b) any security which it holds as collateral security under the indenture to ... | Total words: 3,236 | security: 17 | transfer: 2 | View | |
| 628902.0 | Responsible Official Resource Manual: - select agents | A security risk assessment (SRA) is the electronic records check performed by the Federal Bureau of ... | Total words: 314 | security: 3 | transfer: 2 | agents: 3 | View | |
| 628902.0 | Transferring From One System To Another — TreasuryDirect | To transfer a security to a bank, broker, or dealer, you need this information from them: The Financ... | Total words: 533 | security: 9 | transfer: 11 | View | |
| 628902.0 | Securities and Exchange Commission - SEC.govPDF | When a security certificate is retired, such as when a bond is redeemed or ownership of stock is tra... | Total words: 13,566 | security: 8 | transfer: 242 | agents: 133 | View | |
| 628902.0 | PART 121—POSSESSION, USE, AND TRANSFER OF SELECT AGENTS AND TOXINS | The Code of Federal Regulations (CFR) is the official legal print publication containing the codific... | Total words: 14,139 | security: 66 | transfer: 33 | agents: 126 | View | |
| 628902.0 | Transfer Agent Agreement between Registrant and Wells Fargo Corporation | EXHIBIT 4.5 . TRANSFER AGENT SERVICES AGREEMENT . This Transfer Agent Services Agreement (“Agreeme... | Total words: 5,434 | security: 8 | transfer: 185 | agents: 14 | View | |
| 628902.0 | OCC Releases Guide for Transfer Agents at National Banks | Security Measures, including lost, stolen, counterfeit, or missing securities. In addition, the guid... | Total words: 389 | security: 1 | transfer: 9 | agents: 6 | View | |
| 628902.0 | SP 800-19, Mobile Agent Security | CSRC | Mobile agent technology offers a new computing paradigm in which a program, in the form of a softwar... | Total words: 534 | security: 12 | transfer: 3 | View |
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