Legal & Regulatory
Important Notices
The Depository Trust Company (DTC)
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| Doc # | Date | P&S No. | Subject |
|---|---|---|---|
 7142-10 |
September 01, 2010 | Additional Account Activation: The Bank of New York Mellon/Millennium Fixed Income LTD, #2785 | |
| 7126-10 |
September 01, 2010 | Primary Account Retirement- Brown Investment Advisory & Trust Company, #2644 | |
| 7125-10 |
September 01, 2010 | Account Name Changes: J.P. Morgan Securities Inc. | |
| 7124-10 |
August 31, 2010 | Additional Account Activation: JP Morgan Chase Bank NA/GME Div of ICAP Corporate LLC, #2783 | |
| 7089-10 |
August 27, 2010 | Additional Account Retirement: The Bank of New York Mellon/ABN-AMRO UK #2591 | |
| 7097-10 |
August 23, 2010 | Submission of Rule Filing – SR-DTC-2010-11 to provide that any officer with a title of Managing Director or higher may approve an extension, waiver or suspension of The Depository Trust Company Rules and Procedures REVISED | |
| 7087-10 |
August 18, 2010 | New DTC Limited Participant Account (LPA): Quicksilver Stock Transfer, LLC, #7916 | |
| 7088-10 |
August 17, 2010 | New DTC Limited Participant Account (LPA): Signature Stock Transfer, Inc #7917 | |
| 7086-10 |
August 16, 2010 | Holiday Schedule Labor Day 2010 | |
| 7079-10 |
August 16, 2010 | Account Name Changes: NYFIX Securities Corporation | |
| 7049-10 |
August 12, 2010 | Additional Account Activation: Goldman Sachs Execution & Clearing, L.P./BTIG Sub Acct#7572 | |
| 7048-10 |
August 10, 2010 | Additional Account Retirement: Edward D. Jones & Co./Edward Jones Limited , #5299 | |
| 7051-10 |
August 05, 2010 | Additional Accounts Activation: The Bank of New York Mellon | |
| 7047-10 |
August 05, 2010 | Additional Account Activation: JPMorgan Chase Bank, N.A./JPMorgan Chase Funding Inc.,/#2668 | |
| 7027-10 |
August 04, 2010 | Additional Account Name Changes | |
| 7033-10 |
July 29, 2010 | DTC Rule Change SR-DTC-2010-10 relating to LENS | |
| 7026-10 |
July 27, 2010 | Additional Account Retirement-PNC Bank, N.A./Safekeeping #2094 | |
| 7025-10 |
July 27, 2010 | Additional Account Retirement-GSECLP/Equities Execution #0048 | |
| 6981-10 |
July 20, 2010 | Additional Account Retirement: JPMorgan Chase Bank N.A./JPMO, #2740 | |
| 6980-10 |
July 16, 2010 | Primary Account Retirement- Merrill Lynch Government Securities Inc., #5193 | |
| 6979-10 |
July 15, 2010 | Account Retirements Banc of America Specialist, Inc: | |
| 6945-10 |
July 07, 2010 | Additional Account Name Change | |
| 6955-10 |
June 30, 2010 | Additional Account Name Change: The Bank of New York Mellon/Hilliard Farber, #2650 | |
| 6954-10 |
June 30, 2010 | DTC Limited Participant Account (LPA) Retirement – Southern Company Services, Inc., #7821 | |
| 6944-10 |
June 30, 2010 | Additional Account Activations | |
| 6953-10 |
June 29, 2010 | Account Name Changes: MeesPierson Securities LLC | |
| 6943-10 |
June 29, 2010 | Fortis Clearing Americas LLC - Name Changes | |
| 6914-10 |
June 24, 2010 | Ridge Clearing & Outsourcing Solutions, Inc./Penson Financial Services, Inc. - Conversion | |
| 6913-10 |
June 22, 2010 | DTC Limited Participant Account (LPA) Retirement – Jersey Transfer & Trust Co., #7848 | |
| 6874-10 |
June 18, 2010 | Additional Account Activation: Deutsche Bank AG, New York Branch-GES FFT, #2879 | |
| 6907-10 |
June 16, 2010 | Holiday Schedule Independence Day 2010 | |
| 6873-10 |
June 15, 2010 | Additional Account Retirement: The Bank of New York Mellon/Prodesse Investment Ltd., #2948 | |
| 6872-10 |
June 10, 2010 | Additional Account Retirement: PNC Bank NA/ETF Account, #2448 | |
| 6815-10 |
June 08, 2010 | Accounts Activation: MeesPierson Securities LLC | |
| 6775-10 |
June 03, 2010 | Additional Account Activation: U.S. Bank, N.A./USBFS ,#2780 | |
| 6814-10 |
May 28, 2010 | Columbus Bank and Trust Company, #2578 | |
| 6774-10 |
May 25, 2010 | Additional Account Name Change: Canaccord Financial Ltd., #5046 | |
| 6663-10 |
May 21, 2010 | Additional Account Activation: The Bank of New York Mellon/Pierpont Securities LLC, #2864 | |
| 6773-10 |
May 20, 2010 | Additional Account Activation: Northern Trust Company/Future Fund Accounts, #2778 | |
| 6662-10 |
May 20, 2010 | Account Retirement- Wells Fargo Bank, N.A./Wachovia, #0929 | |
| 6740-10 |
May 18, 2010 | Additional Account Retirement: Citibank N.A. London (GATS), #2593 | |
| 6739-10 |
May 18, 2010 | Additional Account Retirement: The Bank of New York Mellon/Mitsubishi UFJ Securities (USA) Inc., #2646 | |
| 6738-10 |
May 11, 2010 | Additional Account Retirement: The Bank of New York Mellon/CDC Squirrel Fund, #2397 | |
| 6639-10 |
May 05, 2010 | Additional Account Name Changes | |
| 6638-10 |
May 04, 2010 | Additional Account Retirement: Octagon Capital Corporation,#5073 | |
| 6678-10 |
April 30, 2010 | Holiday Schedule Memorial Day 2010 | |
| 6675-10 |
April 30, 2010 | DTC Rule Change SR-DTC-2010-08 relating to the PTOP function | |
| 6661-10 |
April 28, 2010 | Morgan Stanley Smith Barney LLC, #0015 | |
| 6613-10 |
April 26, 2010 | Account Retirement- PNC Bank, N.A. /Main-National City Bank, #2316 | |
| 6637-10 |
April 22, 2010 | Additional Account Activation: JPMorgan Chase Bank/a/c Matchbook, #2777 | |
| 6602-10 |
April 20, 2010 | Additional Account Activation: JPMorgan Chase Bank/AG Depositary Bank #2865 | |
| 6612-10 |
April 16, 2010 | Account Name Changes: Dresdner Kleinwort Securities LLC | |
| 6611-10 |
April 16, 2010 | Primary Account Retirement- INTRADE, LLC, #0238 | |
| 6605-10 |
April 15, 2010 | Additional Account Retirement: Fortis Sec/Fortis Bank, NY Branch, #7517 | |
| 6601-10 |
April 15, 2010 | Account Name Change: LBBW Securities, LLC, #0181 | |
| 6604-10 |
April 14, 2010 | Additional Account Retirement: Dresdner Kleinwort/AS Cust. For DB AG Agency Lending, #7302 | |
| 6603-10 |
April 14, 2010 | Primary Account Number Change and Retirements for J.P. Morgan Securities Inc. | |
| 6600-10 |
April 14, 2010 | Accounts Name Changes | |
| 6560-10 |
April 12, 2010 | Additional Account Activations | |
| 6559-10 |
April 08, 2010 | Additional Account Activation: The Bank of New York Mellon/TD Bank N.A., #2872 | |
| 6558-10 |
April 06, 2010 | Pledgee Retirement: BNP Paribas Securities Corp, #0921 | |
| 6551-10 |
March 31, 2010 | Account Name Changes: Daiwa Securities America Inc. | |
| 6550-10 |
March 31, 2010 | DTC Rule Change SR-DTC-2010-07 regarding end of day liquidity | |
| 6545-10 |
March 31, 2010 | DTC Proposed Rule Change SR-DTC-2010-03 regarding unsponsored ADRs that are a part of the FAST program | |
| 6503-10 |
March 31, 2010 | Additional Account Retirement: American Stock Exchange Clearing, LLC/Direct Market Access, #0622 | |
| 6502-10 |
March 26, 2010 | New DTC Limited Participant Account (LPA): Worldwide Stock Transfer, LLC, #7915 | |
| 6506-10 |
March 25, 2010 | Primary Account Retirement- Cazenove Incorporated, #5117 | |
| 6505-10 |
March 25, 2010 | Additional Account Retirement: Barclays Capital Inc/LE Account #2, #0243 | |
| 6501-10 |
March 24, 2010 | Additional Account Activation: The Bank of Nova Scotia, New York Agency-Global Agent Lending, #2531 | |
| 6478-10 |
March 24, 2010 | Additional Account Retirements | |
| 6477-10 |
March 24, 2010 | Additional Account Name Changes | |
| 6321-10 |
March 24, 2010 | Additional Account Name Changes | |
| 6420-10 |
March 22, 2010 | DTC Rule Change SR-DTC-2010-06 relating to the EDS function | |
| 6320-10 |
March 18, 2010 | Additional Account Activation: The Bank of New York Mellon/Wells Fargo Bank N.A., #2558 | |
| 6308-10 |
March 17, 2010 | Final Reminder Regarding the Implementation of the Confirmation of an OFAC Program SR-DTC-2009-14 | |
| 6319-10 |
March 16, 2010 | Additional Account Retirement: The Bank of New York Mellon/HBK Main Street Investments L.P., #2771 | |
| 6317-10 |
March 16, 2010 | Wachovia Bank, National Association merger with and into Wells Fargo Bank, National Association | |
| 6307-10 |
March 16, 2010 | Primary Account Retirement- LaBranche Financial Services, LLC, #0215 | |
| 6306-10 |
March 16, 2010 | Primary Account Retirement- LaBranche & Co. LLC, # 0210 | |
| 6305-10 |
March 11, 2010 | Pledgee Account Activation: Deutsche Bank AG NY Branch, #0949 | |
| 6295-10 |
March 10, 2010 | Additional Account Activation: HSI/Fixed Income II, #7573 | |
| 6294-10 |
March 10, 2010 | Additional Account Name Changes | |
| 6297-10 |
March 08, 2010 | Account Name Change: Barclays Global Investors, N.A., #2962 | |
| 6296-10 |
March 05, 2010 | DTC Rule Change SR-DTC-2010-05 regarding the ID Net Service | |
| 6293-10 |
March 05, 2010 | Additional Account Activation: Ridge Clearing & Outsourcing Solutions, Inc./Account 2, #0543 | |
| 6292-10 |
March 05, 2010 | Holiday Schedule: Good Friday 2010 | |
| 6236-10 |
March 05, 2010 | Additional Account Activation: JPMCB/HSBC Bank Plc IB Main Fl Account, #2554 | |
| 6235-10 |
March 03, 2010 | Primary Account Retirement- Pflueger & Baerwald Inc., #0428 | |
| 6272-10 |
March 02, 2010 | Participant Financial Responsibility and Operational Capability Notification Requirements | |
| 6270-10 |
March 01, 2010 | DTC Rule Change SR-DTC-2009-17 was approved | |
| 6234-10 |
February 23, 2010 | DTC Limited Participant Account (LPA) Retirement: Seligman Data Corp. #7903 | |
| 6223-10 |
February 22, 2010 | Primary Account Name Change: The Bank of New York Trust Company, N.A., #2438 | |
| 6222-10 |
February 19, 2010 | Primary Account Activation: Community Bank, N.A., #5960 | |
| 6221-10 |
February 19, 2010 | Additional Account Name Change: Blackmont Capital Inc., #5025 | |
| 6204-10 |
February 16, 2010 | Pledgee Retirement: Bank of America NA, Los Angeles, #0825 | |
| 6203-10 |
February 16, 2010 | Additional Account Retirement-Banc of America Securities LLC/ Bank of America London Secured Financing , #2883 | |
| 6207-10 |
February 12, 2010 | Reminder Regarding the Implementation of the Confirmation of an OFAC Program SR-DTC-2009-14 | |
| 6130-10 |
February 11, 2010 | Additional Account Name Change: Research Capital Corporation, #5029 | |
| 6156-10 |
February 08, 2010 | Additional Account Retirement: Federal Reserve Bank of New York/ Special Account 1, #3007 | |
| 6155-10 |
February 05, 2010 | Additional Account Retirement-The Bank of New York Mellon/Mellon Trust of New England, N.A./AIG 2, #2441 | |
| 6192-10 |
February 03, 2010 | DTC Rule Change SR-DTC-2010-04 relating to 17Ad-16 notifications | |
| 6173-10 |
February 01, 2010 | Holiday Schedule for President’s Day 2010 | |
| 6154-10 |
January 26, 2010 | Additional Account Retirement-Fortis Securities LLC/SL #5240 | |
| 6137-10 |
January 19, 2010 | DTC Proposed Rule Change SR-DTC-2010-03 regarding unsponsored ADRs that are a part of the FAST program | |
| 6136-10 |
January 15, 2010 | DTC Rule Change SR-DTC-2010-02 to implement a fee relating to DTC’s Invitation to Cover Shorts functionality | |
| 6134-10 |
January 15, 2010 | DTC Rule Change SR-DTC-2010-01 to expand DTC’s Invitation to Cover Shorts functionality to non-DTC short positions | |
| 6128-10 |
January 15, 2010 | Primary Account Retirement- W. H. Reaves Co., Inc. #0362 | |
| 6129-10 |
January 14, 2010 | Additional Account Retirement: Federal Reserve Bank of New York/Special 2, #2380 | |
| 6105-10 |
January 13, 2010 | Additional Account Retirement-Cantor Fitzgerald & Co.\R. W. Elwood & Co., Inc., #6921 | |
| 6104-10 |
January 13, 2010 | DTC Limited Participant Account (LPA) Retirement – The Bank of New York Mellon/Michigan, #7825 | |
| 6103-10 |
January 13, 2010 | Primary Account Retirement- Perelman-Carley & Associates, Inc., #8086 | |
| 6095-10 |
January 13, 2010 | Additional Account Activation: Genesis Securities, LLC/Stock Loan #7588 | |
| 6120-10 |
January 11, 2010 | Holiday Schedule: Martin Luther King Day 2010 | |
| 6094-10 |
January 08, 2010 | Pledgee Account Activation: M&I Marshall & Ilsley Bank, #0974 | |
| 6093-10 |
January 07, 2010 | Lincoln Trust Company, #5998 | |
| 6081-10 |
January 07, 2010 | Additional Account Name Change: International Advisory Services Group, #5040 | |
| 6080-10 |
January 06, 2010 | Primary Account Retirement- Harborview LLC, #0558 | |
| 6079-10 |
January 05, 2010 | Additional Account Activation: Calyon Securities USA Inc./Non-Purpose Borrow A/C, #5316 |
Note: For Dividends and Compliance notices published before April 1, 2008, please use the Search function.