Series 6: 4.1.1.4. The Transfer Agent And Registrar

Taken from our Series 6 Online Guide

4.1.1.4. 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 records who owns shares and in what form, recording changes of ownership as they occur. If stock certificates are involved, the transfer agent cancels the certificates surrendered by the seller and i

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