IM-11630. Sample Due-Bill Forms
This rule is no longer applicable. NASD Rule 11000 Series has been superseded by FINRA Rule 11000 Series. Please consult the appropriate FINRA Rule.
For value received, the undersigned hereby assigns, transfers and sets over to __________________________________ the stock distribution of ______ ( ) shares of _____________________ stock of ______________________________ to be issued on ___________________ to the registered holder of ___________ ( ) shares of _________________ stock of ___________________ represented by certificate number ___________________ , to which the undersigned is entitled as a stock dividend, and hereby irrevocably constitutes and appoints __________________________________ attorney to transfer the shares representing said stock dividend on the books of said corporation, with full power of substitution in the premises. |
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Dated_________________________________ | |
_________________________________ | |
(Official Signature) |
For value received, the undersigned hereby assigns, transfers, and sets over to _____________________________________________________ the warrant and/or fractional warrant to which the undersigned is entitled, evidencing the rights to subscribe for _____________________ _________________________ , which warrant and/or fractional warrant is to be issued to the holder of record at the close of business _________________________ of ______________ ( ) shares of ________________________ stock of _______________________ represented by certificate No. _________________ |
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Dated_________________________________ | |
_________________________________ | |
(Official Signature) |
This is to certify that, upon issuance of _______________________ in accordance with the plan approved by _________________________ , the undersigned will pay to ______________________________________ $ __________ representing (contingent)(income) interest for ___________ on $ _____ principal amount of said bonds sold to him when, as, and if issued on _____ 19 _____ This due-bill shall become null and void if the contract for sale of said bonds can not be completed in accordance with the plan approved by ___ , on _______________________ |
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Dated_________________________________ | |
_________________________________ | |
(Official Signature) |
This is to certify that, upon issuance of _____________________ in accordance with the plan approved by _________________________ , the undersigned will pay to _______________________ $ _____ , representing the dividend of $ _____ per share declared for the period ending 19 _____ , on _____________ shares of _______________________ stock of ____ sold to him when, as, and if issued on _______________________ 19 _____ This due-bill shall become null and void if the contract for sale of said stock cannot be completed in accordance with the plan approved by ____ , on _________________________ |
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Dated_________________________________ | |
_________________________________ | |
(Official Signature) |
NEW YORK _________________ , 19 _____ No. 1999 | ||
X Y Z BANK | ||
1-2 ___ 210 |
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Pay To The Order Of __________________________________________________ |
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$ __________________________________________________ | ||
DOLLARS | ||
In Payment of Dividend or Interest | Dividend Account | |
Interest Account | ||
On _________________________________________________ | ||
NOT PAYABLE BEFORE | ___________________ | |
Record Date __________________________________________ |