The terminology used by the securities industry is vast and complicated and continually changing. This glossary has been initially compiled from a number of sources (most of it from the Securities Glossary of the Financial Education Center), updated to reflect more current trends for the definitions, and includes new acronyms. If the definition you find here does not fully explain the concept, you may contact the office and we will be happy to help you. You can also order the book, which gives an overview how securities are re- registered after they have been bought or sold in the public market.
A Practical Guide for the Transfer of U.S. Equity Securities – Basic Principals and Procedures
“A Practical Guide For the Transfer of U.S. Equity Securities”, written by Salli Marinov, is a useful guide for any person or company curious about the transfer processing of securities after they have been bought and sold in the public market. It was written for a large target audience that includes new employees of existing in-house or independent transfer agencies as well as all of the corporations who hire them. Because it is written for such a large target audience, it is specifically not written in legalese or as part of a legal series of tomes. It reflects new concepts and practices in step with the environment in 2010. However, as the world changes, the book will continue to be updated so that it stays current.