Series 53: 6.2.6.1. Notice Of Claim

Taken from our Series 53 Online Guide

6.2.6.1. Notice of Claim

To claim an interest payment, the new owner must prepare a written notice of claim including:

Name and address of the broker-dealer making the claim

Name of the broker-dealer against which the claim is made

Amount of the interest payment that is the subject of the claim

Date on which such interest payment was scheduled to be made

Description of the security, including CUSIP, on which the interest payment was made

Statement of the basis of the claim for the interest payment

For a registered security, the certificate numbers of each security on which the claim is based and a photocopy of the certificate(s)

If the claim is made against the broker-dealer that previously delivered the security or that received it, th

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