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https://www.dummies.com/test-prep/series-7/know-the-requirements-for-good-delivery-for-the-series-7-exam/
In the securities industry, good delivery doesn’t mean “in 30 minutes or it’s free” (even the pizza delivery places don’t promise that anymore). To constitute good delivery of certificates, the securities have to be in a certain form. The transfer agent is responsible for good delivery.
https://www.finra.org/rules-guidance/rulebooks/finra-rules/11520
Delivery of Mutilated Securities (a) A mutilated security shall not be a good delivery until appropriately authenticated by the trustee, registrar, transfer agent, or issuer.
https://www.finra.org/rules-guidance/rulebooks/finra-rules/11000
11510. Delivery of Temporary Certificates; 11520. Delivery of Mutilated Securities; 11530. Delivery of Securities Called for Redemption or Which Are Deemed Worthless; 11540. Delivery Under Government Regulations; 11550. Assignments and Powers of Substitution; Delivery of Registered Securities; 11560. Certificate of Company Whose Transfer Books ...
https://quizlet.com/30934902/good-delivery-rules-62-flash-cards/
If a foreign security, the time frame is 45 days from delivery date. -If certificates are refused by the transfer agent, the time frame is 30 months from delivery date. -If the certificates are subject to a partial call, there is no time limit for reclamation.
https://www.lawinsider.com/clause/mutilated-destroyed-lost-or-stolen-right-certificates
Mutilated, Destroyed, Lost or Stolen Right Certificates.Subject to the provisions of this Rights Agreement, at any time after the Distribution Date and prior to the Expiration Date, upon receipt by the Company and the Rights Agent of evidence reasonably satisfactory to them of the loss, theft, destruction or mutilation of a Right Certificate, and, in case of loss, theft or destruction, of ...
https://quizlet.com/46477204/series-7-more-wrongs-flash-cards/
According to MSRB rules, the delivery of a mutilated certificate is considered a good delivery: If the certificate is authenticated by the issuer or transfer agent Which of the following statements is NOT TRUE regarding the characteristics of options and warrants?
https://www.sec.gov/pdf/nasd1/11000ser.pdf
11510. Delivery of Temporary Certificates 11520. Delivery of Mutilated Securities 11530. Delivery of Securities Called for Redemption or Which Are Deemed Worthless 11540. Delivery Under Government Regulations 11550. Assignments and Powers of Substitution; Delivery of Registered Securities IM-11550. Uniform Transfer Instructions Form 11560.File Size: 191KB
https://quizlet.com/33495309/true-false-flash-cards/
According to MSRB rules, the delivery of a mutilated certificate is considered a good delivery if the certificate is authenticated by the issuer or transfer agent True Tips are usually sold at discout
https://quizlet.com/215779242/customer-disclosure-and-settlement-rules-flash-cards/
The best answer is B. To be a good delivery, certificates must be in round multiples of 100 shares on one certificate or must be delivered in certificates that add up to 100 share units. If there is an odd lot (a portion of the order that is less than 100 shares), it can be delivered in any form.
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