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Securities Transfer Guide

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The CCH Securities Transfer Guide provides practical guidance on the registration requirements and tax implications of stock transfers, including matters of state law, federal regulation and taxation in federal, state and foreign jurisdictions. Confidently address all the issues that affect your clients by consulting the laws, regulations, cases, rulings and procedures covered in this extensively updated and revised reference guide.

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  • Receive monthly updates on laws, regulations, and cases affecting the securities transfer industry
  • Access the only source for all federal and state securities transfer requirements
  • Stay current with estate tax provisions affecting securities transfer
  • Use checklists and charts to track constantly changing requirements for transferring stock, including small estates, powers of fiduciaries, age of majority, escheat laws, estate and inheritance tax waiver requirements, and more
  • Review expert analysis and the full text of uniform laws governing securities transfers, including local modifications
  • Find information on transfer agents, corporations and state tax officials
Product Line Wolters Kluwer Legal & Regulatory U.S.
SKU 000000000010021825
Product Line Wolters Kluwer Legal & Regulatory U.S.
SKU 000000000010030739
Table of Contents
Federal/Uniform Laws (Volume 1) All uniform laws provide state-specific local modifications.

  • Checklists
  • :

    Securities Transfer Checklist

    Stock Transfer Forms

    Stock Transfer Taxes

    Stock Transfer Tax Requirements Chart


    Annual Reports of Dividend Payments

    Annual Lists of Stockholders

    UGMA/UTMA - Securities - Form of Registration

    Age of Majority

    State Adoption of Uniform Acts Chart

    Co-ownership of Personal Property

    State Inheritance and Estate Tax Chart

  • Securities Transfer Association (STA) Rule Book
  • NYSE/AMEX Rules for Delivery
  • UTOD (Uniform Transfer on Death Security Registration Act)
  • UGMA/UTMA (Uniform Gifts to Minors/Uniform Transfers to Minors Act)
  • Uniform Unclaimed Property Act (All three versions)
  • Uniform Commercial Code: Articles 1 and 8
  • Uniform Custodial Trust Act
  • Uniform Securities Ownership by Minors Act
  • Uniform Act on Disposition of Unclaimed Property
  • Uniform Unclaimed Property Act (1981 and 1995)
  • Uniform Act for Simplification of Fiduciary Transfers
  • New Developments - cases, policy statements, etc.
  • Regulations of the Securities and Exchange Commission (SEC)
  • Federal estate tax (selected provisions)
  • Federal income tax (selected provisions)
  • State Provisions (Volume 2)

  • Small estates
  • Inheritance tax waivers¿forms and requirements
  • Powers of guardians, executors, personal representatives, and trustees
  • Power of attorney
  • Joint tenancy
  • Restrictions on transfer
  • Transfer of stock held by a bank in receivership/liquidation/dissolution
  • Whether stock can be held in the name of a nominee or in a securities depository
  • (Volume 3)

  • Chart - Fiduciaries' Powers of Sale and Distribution
  • Chart - Inheritance Tax Waiver Table
  • Corporation Directory - Lists all U.S. and Canadian corporations whose stocks are traded on any exchange or are unlisted and widely held; provides name, address, telephone number, state of incorporation, par value of stock, and transfer agent
  • Directory of Transfer Agents
  • Contact information for state tax officials