Modern Securities Transfers, 4th (Vols. 28 & 28A, Securities Law Series®)

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This text is a convenient source of laws, regulations, and professional association rules governing the creation and operation of a securities transfer agent's office. Subjects covered include Revised UCC Article 8 and conforming amendments to UCC Articles 1 and 9, application of bona fide purchaser status to securities clearing firms, a review of market changes to which the transfer office must adjust, and ramifications of broker/dealer bankruptcy.

Summary of contents
Replacement pages

Chapter
1. The Investment Security
2. The Issuer's Transfer Office and The Securities Intermediaries' Back Room
3. Federal Regulation of Transfer Agents
4. Regulation of Securities Intermediaries--Financial Responsibility Rules
5. Certificated Securities, Uncertificated Securities and Security Entitlements--The Essentials of Registered Form
6. Transfer
7. a. Investment Securities as Collateral
8. The Transferor-Transferee
9. Endorsement
10. Delivery/Transfer
11. The Issuer and Its Agents
12. The Certificate: Issue and Warranties
13. Registration of Transfer; Presentation
14. Registration of Transfer; Assurances
15. The Guarantee of Signature; Practice and Procedures
16. Adverse Claims
17. The Lost Security
18. Escheat
19. Tax Aspects
20. Business Risks and Insurance Coverage
21. Broker-Dealer Bankruptcies
Appendices
1. Statutes
2. Forms
3. Standard Abbreviations Useful In Registration Of Securities
4. Offices From Which Tax Waiver(s) May Be Obtained
5. Transfer Agent Or Registrar Record-Keeping Requirements
6. Regulation Of Transfer Agents
7. Bibliography

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