Legal & Regulatory
Important Notices
DTC Important Notices
| Doc # | Date | P&S No. | Subject |
|---|---|---|---|
 3864-08 |
August 29, 2008 | Additional Account Activation Lehman Brothers Inc./RCG Enterprise, Ltd., #7559 | |
| 3838-08 |
August 28, 2008 | Primary Account Activation State Street Global Markets, LLC, #0189 | |
| 3828-08 |
August 28, 2008 | Account Name Changes | |
| 3862-08 |
August 27, 2008 | Proposed Rule Change - Increase the Liquidity Resources of The Depository Trust Company (SR-DTC-2008-12) | |
| 3837-08 |
August 27, 2008 | Newedge Financial Inc. merger with Newedge USA, LLC | |
| 3827-08 |
August 26, 2008 | Additional Account Retirement Lehman/Highland Master Fund, #7306 | |
| 3851-08 |
August 25, 2008 | Rule Change Approval - Modifications to DTC’s Policy Statement on the Admission of Non-U.S. Entities as Direct Depository Participants (SR-DTC-2007-16) | |
| 3830-08 |
August 20, 2008 | Participant Finacial Responsibility and Operational Capability Notification Requirements | |
| 3826-08 |
August 20, 2008 | Additional Account Activation | |
| 3825-08 |
August 19, 2008 | Additional Account Retirement JPMorgan Chase Bank/GAIA Capital Corp., #2054 | |
| 3798-08 |
August 18, 2008 | Additional Account Retirement SSB-IBT/IPA,#1595 | |
| 3823-08 |
August 15, 2008 | Primary Account Retirement H.M. Payson & Co., #0449 | |
| 3797-08 |
August 15, 2008 | Fiserv Trust Company and TD AMERITRADE Trust Company Merger | |
| 3805-08 |
August 13, 2008 | Holiday Schedule Labor Day 2008 | |
| 3796-08 |
August 13, 2008 | Additional Account Retirement The Bank of New York Mellon/Quadriserv | |
| 3795-08 |
August 12, 2008 | Primary Account Name Change The Bankers Bank, #2268 | |
| 3794-08 |
August 08, 2008 | Additional Account Retirements | |
| 3776-08 |
August 08, 2008 | Primary Account Activation Electronic Transaction Clearing, Inc., #0873 | |
| 3792-08 |
August 06, 2008 | DTC Proposed Rule Change SR-DTC-2008-11 implementing a new service (“Security Holder Tracking Service”) | |
| 3790-08 |
August 06, 2008 | Approval of DTC Rule Filing SR-DTC-2007-05 | |
| 3769-08 |
August 06, 2008 | Additional Accounts Activation | |
| 3768-08 |
August 05, 2008 | Additional Account Retirements | |
| 3777-08 |
August 01, 2008 | DTC Proposed Rule Change SR-DTC-2008-10 relating to the industry wide Options Symbology Initiative and OCC Sub-Accounting Initiative. | |
| 3767-08 |
July 31, 2008 | Additional Account Retirement JPMorgan Chase Bank/PKMUN, #2269 | |
| 3766-08 |
July 24, 2008 | Additional Account Name Change Cantor Fitzgerald & Co./BGC Financial, Inc. (eSpeed), #7367 | |
| 3756-08 |
July 24, 2008 | Account Name Change Berkshire Securities, #5047 | |
| 3764-08 |
July 23, 2008 | Additional Account Retirement H.M. Payson & Co. -Safekeeping, #5155 | |
| 3759-08 |
July 23, 2008 | Additional Account Activation | |
| 3758-08 |
July 23, 2008 | Additional Account Retirements | |
| 3763-08 |
July 22, 2008 | DTC Proposed Rule Change SR-DTC-2008-09 relating to DTC’s Debit Cap Look-Ahead Processing | |
| 3757-08 |
July 22, 2008 | Account Number Change | |
| 3745-08 |
July 18, 2008 | Additional Account Name Change Cantor Fitzgerald & Co./BGC Financial, Inc., #0537 | |
| 3744-08 |
July 18, 2008 | Additional Account Retirement LaSalle Bank National Association/Broker Dealer, #2685 | |
| 3743-08 |
July 18, 2008 | Additional Account Activation BNY Mellon/DB Emerald Trading L.P., #2887 | |
| 3742-08 |
July 17, 2008 | Additional Account Activation Electronic Brokerage Systems, LLC/Shadow, #5627 | |
| 3754-08 |
July 16, 2008 | DTC Amendment to Proposed Rule Change SR-DTC-2008-05 – relating to Money Market Instruments | |
| 3741-08 |
July 16, 2008 | Additional Account Activation BNY Mellon/WG Trading Co., #2882 | |
| 3710-08 |
July 16, 2008 | Additional Account Retirement Instinet, LLC/IB Account, # 0004 | |
| 3709-08 |
July 14, 2008 | Additional Account Retirement Lehman Brothers Inc./CR Intrinsic Investments, LLC, #7422 | |
| 3708-08 |
July 14, 2008 | Additional Account Activation The Bank of New York Mellon/Natixis Securities North America | |
| 3711-08 |
July 11, 2008 | Additional Accounts Activation | |
| 3717-08 |
July 09, 2008 | DTC Proposed Rule Change SR-DTC-2008-08 – relating to Withdrawal-by-Transfer instructions for security issues that are eligible and participating in the Direct Registration System | |
| 3706-08 |
July 09, 2008 | Additional Accounts Activation | |
| 3707-08 |
July 08, 2008 | Accounts Activation NASDAQ Stock Market LLC, #0734 NASDAQ Stock Market LLC/Omnibus Account, #0759 | |
| 3704-08 |
July 07, 2008 | DTC Proposed Rule Change SR-DTC-2008-07 – relating to the Direct Registration System for securities of The Depository Trust Company (“DTC”) | |
| 3663-08 |
July 07, 2008 | Additional Account Activation BMO Trust Company, #4712 | |
| 3662-08 |
July 02, 2008 | Additional Account Retirement JPMorgan Chase Bank/BUEMTN, #2904 | |
| 3661-08 |
July 02, 2008 | Additional Account Retirements | |
| 3672-08 |
June 30, 2008 | Mellon Trust of New England, National Association, #0954 | |
| 3660-08 |
June 30, 2008 | Accounts Name Changes | |
| 3658-08 |
June 30, 2008 | Additional Account Activation Lehman Brothers Inc./Diamondback Fixed Income Master Fund Ltd., #7553 | |
| 3670-08 |
June 27, 2008 | Additional Account Name Change Banc of America Securities LLC, As Agent For BA Futures Inc., #2154 | |
| 3657-08 |
June 27, 2008 | Additional Accounts Activation | |
| 3627-08 |
June 27, 2008 | Additional Account Retirement ABN AMRO Inc Omnibus Account, #5174 | |
| 3659-08 |
June 25, 2008 | Primary Account Retirement Broadpoint Capital, Inc., 0312 | |
| 3630-08 |
June 25, 2008 | Additional Account Retirement HSBC Securities (USA) Inc./ABS, #7456 | |
| 3629-08 |
June 24, 2008 | **Cancelled** Additional Account Activation JPMorgan Chase Bank/Corporate Municipal Dealer/IBODTOB, #2862 | |
| 3628-08 |
June 24, 2008 | Additional Accounts Activation The Bank of New York/EF Mortgage, LLC, #2841 The Bank of New York/EF CMO, LLC, #2842 | |
| 3651-08 |
June 23, 2008 | Holiday Schedule Independence Day 2008 | |
| 3647-08 |
June 23, 2008 | ***CANCELLED***Additional Account Activation Union Bank of California/UnionBanc Investment Services, #2632 | |
| 3631-08 |
June 20, 2008 | DTC Proposed Rule Change SR-DTC-2008-06 relating to End of Day Settlement Procedures | |
| 3626-08 |
June 19, 2008 | Additional Account Activation Banc of America Specialist/Enhanced Leverage, #7503 | |
| 3617-08 |
June 18, 2008 | **CANCELLED** Additional Account Name Change Lehman Brothers Inc/EJF Capital LLC Series D, #7541 | |
| 3562-08 |
June 18, 2008 | Additional Account Activation JPMorgan Chase Bank/III Term Investment Hub Fund Ltd, #2843 | |
| 3616-08 |
June 17, 2008 | Additional Accounts Activation | |
| 3615-08 |
June 12, 2008 | Additional Account Activation Lehman Brothers Inc/EJF Capital LLC Series D, #7541 | |
| 3614-08 |
June 12, 2008 | Pledgee Retirement Morgan Stanley /Prime Dealer Service, #0058 | |
| 3561-08 |
June 10, 2008 | Additional Account Activation JPMorgan/The Hong Kong Shanghai Banking Corporation Ltd., #2341 | |
| 3560-08 |
June 09, 2008 | Additional Account Activation Calyon Securities/Stock Loan, #7540 | |
| 3557-08 |
June 06, 2008 | Additional Account Activation The Bank of New York/KBC Financial Holding, Inc., #2701 | |
| 3579-08 |
June 05, 2008 | DTC Proposed Rule Change SR-DTC-2008-05 – relating to Money Market Instruments | |
| 3578-08 |
June 05, 2008 | DTC Proposed Rule Change SR-DTC-2008-04 – relating to the Direct Registration System for securities of The Depository Trust Company ("DTC") | |
| 3559-08 |
June 04, 2008 | Additional Account Retirements | |
| 3558-08 |
June 03, 2008 | Additional Account Activation Lehman Brothers Inc/EJF Distressed Master Fund II, LP, #7508 | |
| 3563-08 |
May 30, 2008 | DTC Proposed Rule Change SR-DTC-2008-03 relating to Money Market Instruments | |
| 3556-08 |
May 30, 2008 | Primary Account Retirement WaMu Capital Corp, #0206 | |
| 3493-08 |
May 30, 2008 | Additional Account Retirements | |
| 3492-08 |
May 30, 2008 | Primary Account Retirement Wm. V. Frankel & Co., Inc., #0623 | |
| 3491-08 |
May 28, 2008 | Primary Account Activation Deposito Central de Valores S.A., Deposito de Valores, #2735 | |
| 3540-08 |
May 23, 2008 | North American Clearing, Inc. (Participant No. 0297) | |
| 3490-08 |
May 22, 2008 | Additional Account Activation ITG Inc/ Securities Lending Division, #7539 | |
| 3528-08 |
May 21, 2008 | North American Clearing, Inc. (Participant No. 0297) | |
| 3512-08 |
May 20, 2008 | Holiday Schedule Memorial Day 2008 | |
| 3511-08 |
May 19, 2008 | Participant Financial Responsibility and Operational Capability Notification Requirements | |
| 3489-08 |
May 16, 2008 | Additional Account Name Changes | |
| 3487-08 |
May 14, 2008 | Foreign Ownership of Communications and Maritime Issues and Other Specialized Ownership Instructions | |
| 3475-08 |
May 14, 2008 | Primary Account Retirement A.G. Edwards Trust Company FSB, #2537 | |
| 3474-08 |
May 12, 2008 | Additional Account Activation JPMorgan Chase Bank/Credit Spectrum Fund Ltd., #2208 | |
| 3473-08 |
May 09, 2008 | Additional Account Retirement Bank of America, N.A./US Trust,#931, #0931 | |
| 3471-08 |
May 09, 2008 | Additional Account Retirement Morgan Stanley & Co. Inc/Prime Dealer Services Corp, #0058 | |
| 3472-08 |
May 08, 2008 | Additional Account Activation Lehman Brothers Inc./DCI Long-Short Credit Fund, #7538 | |
| 3435-08 |
May 08, 2008 | Primary Account Retirement First American Trust, FSB, #5989 | |
| 3434-08 |
May 08, 2008 | Additional Account Activation Lehman Brothers Inc/Fortress Mort. Opp. Master Fund Series 2 LP, #7537 | |
| 3464-08 |
May 05, 2008 | SEC approval of Rule Filing Regarding New Issue Information Dissemination System (SR-DTC-2007-10) | |
| 3433-08 |
May 05, 2008 | Additional Account Activation Lehman Brothers Inc./OWS Mortgage Opportunity Master Fund, L.P., #7535 Lehman Brothers inc./R3 Capital Partners Master LP, #7536 | |
| 3447-08 |
May 02, 2008 | Primary Account Activation Vision Financial Markets LLC, #0595 | |
| 3432-08 |
May 01, 2008 | DTC Limited Participant Account (LPA) Retirement UMB Bank, N.A., #7811 | |
| 3431-08 |
April 29, 2008 | Additional Account Retirements | |
| 3358-08 |
April 28, 2008 | Additional Accounts Activation The Bank of New York/Countrywide Financial Corporation, #2774 | |
| 3368-08 |
April 25, 2008 | Additional Account Retirement LaSalle Bank National Association/Dealer Operations, #2498 | |
| 3377-08 |
April 24, 2008 | Additional Account Retirements JPMorgan Chase/Duration Municipal Fund LP, #2073 JPMorgan Chase Bank/DMOFC, #2822 | |
| 3376-08 |
April 23, 2008 | Additional Account Retirement Swiss American Securities Inc./#2, #5264 | |
| 3357-08 |
April 18, 2008 | Additional Account Activation JPMorgan Chase Bank/BLUEMTN, #2904 | |
| 3375-08 |
April 17, 2008 | Primary Account Activation Law Debenture Trust Company of New York, #2216 | |
| 3308-08 |
April 02, 2008 | Additional Account Name Change The Goldman Sachs Trust Company/Boston Global Advisors, #2660 | |
| 3307-08 |
April 02, 2008 | New DTC Limited Participant Account (LPA) Action Stock Transfer Corp. #7911 | |
| 3301-08 |
April 02, 2008 | Additional Account Activation Lehman Brothers Inc/Institutional Benchmarks Series (MF) Ltd, in respect of the Epicycle Opportunities Event Driven I Series, #7531 | |
| 3304-08 |
March 31, 2008 | Wm. V. Frankel & Co., Incorporated (Participant No. 623) | |
| 3154-08 |
March 28, 2008 | Additional Account Activation The Bank of New York/ECF Special Securities, LLC, #2768 | |
| 3268-08 |
March 27, 2008 | New DTC Limited Participant Account (LPA) Kansas City Life Insurance Company, #7893 | |
| 3206-08 |
March 26, 2008 | Additional Account Name Change Home Federal Bank/Trust Department, #2534 | |
| 3153-08 |
March 25, 2008 | Additional Account Name Change Alaska USA Federal Credit Union/LendEX, #2987 | |
| 3152-08 |
March 20, 2008 | New DTC Limited Participant Account (LPA) Seligman Data Corp., #7903 | |
| 3151-08 |
March 20, 2008 | New DTC Limited Participant Account (LPA) BancFirst, #7909 | |
| 3150-08 |
March 19, 2008 | New DTC Limited Participant Account (LPA) First Busey Corporation, #7910 | |
| 3105-08 |
March 19, 2008 | New DTC Limited Participant Account (LPA) First Financial Corporatio n, #7896 | |
| 3104-08 |
March 19, 2008 | Additional Account Retirement BNY Convergex Execution Solutions LLC/B-Trade Services , #0133 | |
| 3207-08 |
February 25, 2008 | New DTC Limited Participant Account (LPA) International Bank of Commerce, #7887 |
Note: This page indexes all DTC Important Notices published, beginning in January 2008.
At the moment, Important Notices for Dividends and Compliance are listed from April 1, 2008-present.
For Dividends and Compliance notices published before April 1, 2008, please use the Search function.