4 edition of Securities found in the catalog.
Securities
Elizabeth Glass Geltman
Published
1994
by Michie Co. in Charlottesville, Va
.
Written in English
Edition Notes
Includes index.
Statement | Elizabeth Glass Geltman. |
Series | Contemporary legal education series |
Classifications | |
---|---|
LC Classifications | KF1069 .G45 1994 |
The Physical Object | |
Pagination | xvii, 315 p. ; |
Number of Pages | 315 |
ID Numbers | |
Open Library | OL1132495M |
ISBN 10 | 1558342044 |
LC Control Number | 94079706 |
OCLC/WorldCa | 32277264 |
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Code and Code of Federal Regulations maintained at the Legal Information Institute. This will assure you that the text is current. Securities may also be held in the Direct Registration System (DRS), which is a method of recording shares of stock in book-entry form. Book-entry means the company's transfer agent maintains the shares on the owner's behalf without the need for physical share certificates.
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(b) Except as otherwise provided in subsections (d) and (e), a person acquires a security entitlement if a securities intermediary: (1) indicates by book entry that a financial asset has been credited to the person's securities account. How Marketable Securities Work. Securities in book-entry form exist not as printed certificates but as computer records on our books and on the books of banks and government securities brokers and dealers.
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government created by the Securities Exchange Act of and charged with protecting the interests of the public and investors in connection with the public issuance and sale of corporate securities.
Jul 25, · Holding Your Securities. Securities may be held in three different ways. One way is to hold them in certificate form, where the securities are registered in your name on the books of the company, and you receive a printed certificate. Alternative approaches eliminate the need to hold certificates by relying on a “book-entry” record of.The SIE Exam is a new, introductory-level FINRA exam for prospective industry professionals.
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