Depository Trust & Clearing Corporation

 

Legal & Regulatory

Important Notices

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The Depository Trust Company (DTC)

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Compliance

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.