Textual Modalities for: Security transfer agents
Records: Showing 20 of 902 total records
Page: 5 of 46
| Code | Title | Description | Source | Word Counts | URL |
|---|---|---|---|---|---|
| 628902.0 | Investor Bulletin: Lost and Stolen Securities | In another instance, a transfer agent’s shipping bags filled with cancelled certificates were stol... | Total words: 1,441 | transfer: 17 | agents: 5 | View | |
| 628902.0 | PART 331—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: 9,925 | security: 45 | transfer: 23 | agents: 82 | View | |
| 628902.0 | SEC Charges Transfer Agent Equiniti Trust Co. with Failing to Protect ... | In addition, the SEC’s order finds that, around April 2023, in an unrelated incident, an unknown t... | Total words: 564 | security: 2 | transfer: 16 | agents: 1 | View | |
| 628902.0 | Revised Transfer Agent Form and Related Rule - SEC.gov | Transfer agents are urged to review all applicable provisions of the Securities Exchange Act of 1934... | Total words: 11,673 | security: 1 | transfer: 274 | agents: 124 | View | |
| 628902.0 | Fiscal Transfer Agent (FTA) - Small Business AdministrationPDF | ... | Total words: 634 | transfer: 3 | View | |
| 628902.0 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549PDF | service company by a named transfer agent to perform transfer agent functions? Yes No If "yes," prov... | Total words: 4,283 | security: 5 | transfer: 43 | agents: 6 | View | |
| 628902.0 | Remittance transfer rule factsheet - Consumer Financial Protection BureauPDF | the consumer pays for the transfer. This includes information about: o The exchange rate. o Fees and... | Total words: 991 | transfer: 30 | agents: 1 | View | |
| 628902.0 | User Guide Sections 221 Through 230 — TreasuryDirect | You may transfer the full amount or a partial amount of a security. The minimum transfer amount is $... | Total words: 1,366 | security: 21 | transfer: 75 | View | |
| 628902.0 | Security Program | dlcp | Agencies located outside the DC Metropolitan Area must have a local agent and District of Columbia a... | Total words: 2,003 | security: 32 | transfer: 1 | View | |
| 628902.0 | Legacy Treasury Direct Security Transfer Request - reginfo.gov | 3. TRANSFER INSTRUCTIONS . CHECK ONE BOX ONLY AND PROVIDE THE INFORMATION REQUESTED FOR THE TRANSFER... | Total words: 1,794 | security: 10 | transfer: 31 | agents: 3 | View | |
| 628902.0 | Guidance on the Transfer of Select Agents and Toxins: Receiving ... | The Federal Select Agent Program oversees the possession, use and transfer of select agents and toxi... | Total words: 337 | transfer: 2 | agents: 9 | View | |
| 628902.0 | Order Under Section 17A of the Securities Exchange Act of 1934 Granting ...PDF | for transfer agents required to register under section 17A of the Act (15 U.S.C. 78q-1) if the trans... | Total words: 1,546 | security: 1 | transfer: 30 | agents: 17 | View | |
| 628902.0 | IDFPR | Security Professions - Department of Financial & Professional ... | Licensed Private Security Contractor Licensed Private Security Contractor Agency Licensed Private Se... | Total words: 576 | security: 16 | View | |
| 628902.0 | eCFR :: 17 CFR 240.15c3-3a -- Exhibit A—Formula for determination of ... | 9. Market value of securities which are in transfer in excess of 40 calendar days and have not been ... | Total words: 5,348 | security: 21 | transfer: 4 | agents: 2 | View | |
| 628902.0 | Clearing Agencies - SEC.gov | Security-Based Swap Execution and Registration and Regulation of Security-Based Swap Execution Facil... | Total words: 948 | transfer: 1 | agents: 1 | View | |
| 628902.0 | Career path: Special agent - United States Secret Service | Following their protective assignment, many agents return to the field or transfer to a headquarters... | Total words: 1,599 | security: 3 | transfer: 2 | agents: 22 | View | |
| 628902.0 | 63656 Federal Register I Vol. No. I Thursday, December 8, 1994 I Rules ...PDF | transfer agents to notify a registered securities depository ofchanges in the transfer agent's name ... | Total words: 6,329 | security: 2 | transfer: 151 | agents: 27 | View | |
| 628902.0 | SEC Institutes Administrative Proceedings against Two Transfer Agents ... | ADMINISTRATIVE PROCEEDING File No. 3-21263; 3-21264. December 27, 2022 – The Securities and Exchan... | Total words: 414 | transfer: 11 | agents: 7 | View | |
| 628902.0 | Compliance Alert - SEC.gov | July 2008. Dear Chief Compliance Officer: The SEC staff conducts compliance examinations of SEC-regi... | Total words: 7,020 | security: 5 | transfer: 13 | agents: 8 | View | |
| 628902.0 | FAQs | Compliance | Federal Select Agent Program | An SRA is the electronic records check performed by the Federal Bureau of Investigation (FBI), Crimi... | Total words: 1,667 | security: 10 | transfer: 5 | agents: 17 | View |
Page 5 of 46 (902 records)