Series 65: The Transfer Agent And Registrar

Taken from our Series 65 Online Guide

The Transfer Agent and Registrar

Companies typically keep track of their securities issues by hiring a transfer agent, usually a bank or trust company. The transfer agent keeps records on who owns stocks and in what form, recording changes of ownership as they occur. It cancels stock certificates surrendered by the seller and issues new ones in the name of

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Your material was great. I took the Series 65 in March [2010] and passed with a 90%.

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