Series 7: 1.2.4.1 Transfer Agent And Registrar

Taken from our Series 7 Top-off Online Guide

1.2.4.1 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. The transfer agent cancels stock certificates surrendered by the seller and issues new ones in the name

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