Stock Transfer Services Glossary

A nine-digit bank routing number issued by the American Bankers Association, used by transfer agents to direct electroni...

A sworn legal declaration submitted by a registered shareholder to a transfer agent certifying that a share certificate...

An investor who enjoys the economic benefits of share ownership but whose shares are held in street name through a broke...

A method of recording and transferring ownership of securities electronically, without the issuance of physical certific...

The nominee entity of the Depository Trust Company (DTC) that appears as the registered holder of record for virtually a...

An event initiated by a public company that brings about a material change to its securities, such as a stock split, div...

A nine-character alphanumeric identifier assigned to North American securities, used universally in transfer agent and c...

The process of converting physical securities certificates into electronic book-entry form held on the records of a depo...

A program administered by a transfer agent that allows shareholders to automatically reinvest cash dividends into additi...

Abbreviation for Dividend Reinvestment Plan, a programme that allows shareholders to automatically reinvest cash dividen...

Abbreviation for Direct Registration System, a method allowing investors to hold shares in registered form directly on t...

Direct Stock Purchase Plan — a programme that allows investors to purchase shares of a company directly from the transfe...

Abbreviation for the Depository Trust Company, the central securities depository for the United States that holds securi...

Abbreviation for Depository Trust & Clearing Corporation, the parent company of DTC and NSCC, providing clearing, settle...

Acronym for Deposit/Withdrawal at Custodian; an electronic transfer mechanism that moves securities directly between a t...

The legal process by which unclaimed property—such as dividends, proceeds from share sales, or dormant account balances...

The date on or after which a buyer of shares is no longer entitled to receive the declared dividend or other corporate a...

The date on or after which a buyer of a security is not entitled to receive the next declared dividend; shares purchased...

A financial institution, typically a transfer agent or bank, appointed to facilitate the exchange of securities in conne...

Acronym for Fast Automated Securities Transfer; a DTC program that links transfer agents electronically to DTC's book-en...

An IRS form used to certify a U.S. payee's taxpayer identification number (TIN) and backup withholding status, commonly...

A portion of a whole share of stock, arising from corporate actions such as stock splits, dividend reinvestment, or stoc...

Acronym for International Securities Identification Number; a twelve-character alphanumeric code that uniquely identifie...

A document submitted by a shareholder to a transfer agent or depositary agent instructing the tender or exchange of shar...