Securities Transfers and Proxy Voting | Practical Law

Securities Transfers and Proxy Voting | Practical Law

An overview of the process by which shares of common stock of Exchange Act reporting companies are held, traded through the Depository Trust Company (DTC) system, and transferred between transfer agents and securities intermediaries (broker-dealers and banks). This Note includes a series of flowcharts illustrating the process. This Note also includes an overview of the mechanics of the proxy voting process for registered and beneficial owners.

Securities Transfers and Proxy Voting

Practical Law Practice Note 4-518-2465 (Approx. 16 pages)

Securities Transfers and Proxy Voting

by Practical Law Corporate & Securities. Based on materials contributed by Charles V. Rossi, Computershare Limited.
MaintainedUSA (National/Federal)
An overview of the process by which shares of common stock of Exchange Act reporting companies are held, traded through the Depository Trust Company (DTC) system, and transferred between transfer agents and securities intermediaries (broker-dealers and banks). This Note includes a series of flowcharts illustrating the process. This Note also includes an overview of the mechanics of the proxy voting process for registered and beneficial owners.