Securities Registrars Association of Australia Inc.

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Introduction
spacer.gif (56 bytes)Registration Detailsspacer.gif (56 bytes)CHESS Registration Detailsspacer.gif (56 bytes)Acceptable Registration Detailsspacer.gif (56 bytes)
Change of Address

Correction of a Registered Name of a Securityholder

Document Signing Requirements

Deceased Securityholders

Bankruptcy & Liquidation

Replacement of Securities Certificates

Replacement of Holder Number

Minors as Securityholders

Lost Securityholders

Company Meetings

Company Registers - Inspection & Copying

Stamp Duty

Capital Raisings

Takeovers for Ordinary Shares

Tax File Numbers

Non-resident Withholding Tax
SRA Forms

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1.  Introduction to CHESS
2. TFN Exemption Table
3. Association Information

 

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SRA Recommended Forms

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Index Of Available Forms

Form 1  -  Change of Address Notification
Form 2  -  Name Correction Request and Indemnity
Form 3  -  Request for Clarification of Registration Details
Form 4  -  Registration Correction Indemnity - Brokers
Form 5  -  Section 1071B  Statement
Form 6  -  Transmission Application
Form 7  -  Small Estate Statement and  Indemnity
Form 8  - Standard Letter - Deceased Holder
Form 9  -  Securityholder Reference Number Replacement Request - Individual & 
Form 9A - Securityholder Reference Number Replacement Request - Companies
Form 10  -  Certificate Replacement Request - Individual & Joint Holders
Form 10A - Certificate Replacement Request -Companies
Form 10B - Certificate Replacement Request -Executor/s or Administrator/s
Form 11  -  Intestate Statement & Indemnity
Form 12  -  Certificate Replacement Request - Brokers
Form 12A  -  Request For Securityholder Reference Number (SRN)
Form 13  -  Appointment of Corporate Representative
Form 14  -  Document Forwarding
Form 15  -  Transfer Request Form
Form 17  -  Notification of Conversion to an Issuer Sponsored Holding from a CHESS Sponsored Holding
Form 18  -  Public Share Offer -  Application Form (No Signature)
Form 19  -  Public Share Offer - Application Form (Signature Required)
Form 20  -  Priority Share Offer - Application Form
Form 21  -  Entitlement & Acceptance Form - Renounceable Issue
Form 22  -  Entitlement & Acceptance Form - Non-Renounceable Issue
Form 23  -  Transfer Form for Non-Market Transactions
Form 24  -  Register Removal Request
Form 25  -  Request to Register Surviving Holders
Form 26  -  Tax File Number (TFN), Australian Business Number (ABN) or Exemption Notification
Form 27  -  Direct Credit Facility
Form 28  -  Minor (s) Statement and Indemnity

Form 1 CHANGE OF ADDRESS NOTIFICATION     Top of Page
To be used by security holders to advise issuer's registries or CHESS sponsoring participant's of any change of address.

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Form 2 NAME CORRECTION REQUEST AND INDEMNITY    Top of Page
To be used by security holders for minor corrections to the registered details of issuer operated subregister holdings.

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Form 3 REQUEST FOR CLARIFICATION OF REGISTRATION DETAILS    Top of Page
Advice to CHESS Administration when the registered details of holdings on the CHESS subregister do not conform with industry standards.

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Form 4 REGISTRATION CORRECTION INDEMNITY - BROKERS    Top of Page
For the use of stockbrokers for minor corrections to the registered details of issuer sponsored subregister holdings

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Form 5 SECTION 1079B STATEMENT     Top of Page
Required to be completed by the executor/s or administrator/s of an estate where the Probate of Letters of Administration have not been granted or resealed in the State or Territory in which the securities are registered

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Form 6 TRANSMISSION APPLICATION     Top of Page
To be completed by the executor/s or administrator/s of an estate where the securities are to be removed from the deceased name into the name/s of the executor/s or administrator/s

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Form 7 SMALL ESTATE STATEMENT AND INDEMNITY    Top of Page
To be completed by the executor/s or administrator/s of an estate where the company or registry agrees to waive the need for production of Australian probate or the reseal of an overseas probate.

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Form 8 STANDARD LETTER - DECEASED HOLDER   Top of Page
To be forwarded in response to a notification of the death of a security holder.

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Form 9 SECURITYHOLDER REFERENCE NUMBER REPLACEMENT REQUEST - INDIVIDUAL AND JOINT HOLDERS     Top of Page
For the use of individual and joint securityholders on an issuer sponsored subregister for the replacement of an SRN

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Form 9A SECURITYHOLDER REFERENCE NUMBER REPLACEMENT REQUEST - COMPANIES AND EXECUTOR/S  -  ADMINISTRATOR/S      Top of Page
For the use of companies, executor/s or administrator/s of holders on an issuer sponsored subregister for the re placement of an SRN

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Form 10 CERTIFICATE REPLACEMENT REQUEST - INDIVIDUAL & JOINT HOLDERS  Top of Page
For the use of individual and joint securityholders for the replacement of missing securities certificates.

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Form 10A CERTIFICATE REPLACEMENT REQUEST - COMPANIES    Top of Page
For the use of companies for the replacement of missing securities certificates.

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Form 10B CERTIFICATE REPLACEMENT REQUEST - EXECUTOR/S OR ADMINISTRATOR/S  Top of Page
For the use of executor/s or administrator/s for the replacement of missing securities certificates.

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Form 11 INTESTATE STATEMENT AND INDEMNITY     Top of Page
For the use of the proposed administrator/s of an estate when no will exists.

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Form 12 CERTIFICATE REPLACEMENT REQUEST - BROKERS   Top of Page
For the use of brokers for the replacement of missing securities certificates.

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Form 12A REQUEST FOR SECURITYHOLDER REFERENCE NUMBER (SRN)   Top of Page
To enable CHESS Participants to request an SRN from registries.

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Form 13 APPOINTMENT OF CORPORATE REPRESENTATIVE   Top of Page
To be completed by a company to authorise a person to act as its representative at meetings of securityholders.

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Form 14 DOCUMENT FORWARDING     Top of Page
To be used by CHESS participants to forward various documents to registries

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Form 15 TRANSFER REQUEST FORM  Top of Page
To enable CHESS  non-broker participants to request an issuer to authorise a transfer of securities to the CHESS subregister

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Form 17 NOTIFICATION OF CONVERSION TO AN ISSUER SPONSORED HOLDING FROM A CHESS SPONSORED HOLDING    Top of Page
To be used by CHESS participants to advise registries the reason for the conversion of a CHESS sponsored holding to an issuer sponsored holding following the death of a holder or liquidation of a company

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Form 18 PUBLIC SHARE OFFER - APPLICATION FORM (NO SIGNATURE)   Top of Page

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Form 19 PUBLIC SHARE OFFER - APPLICATION FORM (SIGNATURE REQUIRED)  Top of Page

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Form 20 PRIORITY SHARE OFFER - APPLICATION FORM  Top of Page

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Form 21 ENTITLEMENT & ACCEPTANCE FORM - RENOUNCEABLE ISSUE  Top of Page

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Form 22 ENTITLEMENT & ACCEPTANCE FORM - NON- RENOUNCEABLE ISSUE  Top of Page

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Form 23 TRANSFER FORM FOR NON-MARKET TRANSACTIONS   Top of Page

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Form 24 REGISTER REMOVAL REQUEST    Top of Page

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Form 25 REQUEST TO REGISTER SURVIVING HOLDERS   Top of Page

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Form 26 TAX FILE NUMBER (TFN), AUSTRALIAN BUSINESS NUMBER (ABN) OR EXEMPTION NOTIFICATION           Top of Page

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Form 27 DIRECT CREDIT FACILITY    Top of Page

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Form 28 MINOR(S) STATEMENT AND INDEMNITY   Top of Page

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