Issue Eligibility Documentation

Letters of Representations

Letters of Representations are form agreements. They contain certain representations that must be made to DTC by the issuer and others before various issue types (e.g., book-entry-only issues, Rule 144A issues, Reg. S issues) can be made eligible for deposit at DTC and for DTC book-entry services. Forms for different issue types are set forth below.

Riders

These consist of optional riders that, if appropriate, may be appended to Letters of Representations.

Forms of Notes

Forms of Master Notes are provided for MMIs. All book-entry-only security certificates deposited with DTC must bear or be stamped with a DTC legend, which is provided on all the forms of Master Notes.

Eligibility Documentation 

• Operational Arrangements
  (Acrobat .pdf, 300KB, Updated 11/2009)
• Eligibility Questionnaire
  (Acrobat .pdf, 240KB, Updated 12/2009)
• Retail Certificate of Deposit (CDs) Eligibility Questionnaire
  (MS-Excel .xls, 384KB, Updated 02/2009)
• Unit Investment Trust (UITs) Eligibility Questionnaire
  (Acrobat .pdf, 167KB, Updated 06/2000)
• A Guide to Making BEO Securities Eligible for Deposit at DTC
  (Acrobat .pdf, 66KB, Updated 01/2008)
• Schedule A: Sample Offering Document Language Describing Book-Entry-Only Issurance
  (Acrobat .pdf, 30KB, Updated 01/2008)
• Procedures for Submitting a DTC Letter of Representations, Special Letter, or Rider ("Form Letter")
  (Acrobat .pdf, 70KB, Updated 08/2009)
• Blanket Issuer Letter of Representations (BLOR)
  Not for Use with MMIs.
  (Acrobat .pdf, 66KB, Updated 08/2008)
• Issuer Letter of Representations (ILOR)
  Not for Use with MMIs.
  (Acrobat .pdf, 68KB, Updated 08/2008)
• Issue Custodied at Central Securities Depositary ("CSD") Blanket Issuer Letter of Representations
  (Acrobat .pdf, 45KB, Updated 08/2008)
• CSD Blanket Letter of Representations
  (Acrobat .pdf, 43KB, Updated 08/2008)