Legal & Regulatory
Important Notices
The Depository Trust Company (DTC)
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| Doc # | Date | P&S No. | Subject |
|---|---|---|---|
 7829-10 |
December 31, 2010 | New DTC Limited Participant Account (LPA): Putnam Investor Services, Inc., #7919 | |
| 7823-10 |
December 30, 2010 | Primary Account Activation: CRT Capital Group LLC, #0387 | |
| 7822-10 |
December 30, 2010 | Wells Fargo Investments, LLC/Wells Fargo Advisors, LLC - Conversion | |
| 7824-10 |
December 29, 2010 | 2011 DTC Fee Adjustments | |
| 7820-10 |
December 29, 2010 | ARCELORMITTAL Cusip# 03938L104 | |
| 7819-10 |
December 29, 2010 | DTC Rule Change SR-DTC-2010-18 regarding Amendments to the Dividends Service Guide | |
| 7744-10 |
December 28, 2010 | Primary Account Name Change: Knight Clearing Services LLC, #0295 | |
| 7743-10 |
December 28, 2010 | Additional Account Activation: Albert Fried & Company, LLC/Stock Loan, #7578 | |
| 7775-10 |
December 22, 2010 | DTC Rule Filing 2010-17 Revisions to DTCs Fee Schedule | |
| 7748-10 |
December 16, 2010 | Nominations to the Board of Directors of The Depository Trust & Clearing Corporation | |
| 7747-10 |
December 10, 2010 | ANTICIPATED HOLIDAYS: YEAR 2011 | |
| 7746-10 |
December 10, 2010 | Anticipated Holiday Schedule: 2010-2015 Money Market Instrument and London Settlement | |
| 7742-10 |
December 10, 2010 | Account Name Changes: Union Bank of California N.A., | |
| 7667-10 |
December 10, 2010 | New DTC Limited Participant Account (LPA): Colonial Stock Transfer Company, Inc. #7918 | |
| 7595-10 |
December 09, 2010 | Accounts Retirement- BNYMellon/Nomura Capital Markets PLC, #2350, BNYMellon/Nomura International PLC, #2353 | |
| 7666-10 |
November 30, 2010 | Additional Account Activation The Bank of New York Mellon/Crescent LO Fund, L.P. | |
| 7665-10 |
November 26, 2010 | Additional Account Retirement-Goldman Sachs Execution & Clearing, LP/BTIG #7572 | |
| 7668-10 |
November 24, 2010 | DTC Rule Change SR-DTC-2010-16 regarding the Federal Reserve - REVISED REVISED | |
| 7642-10 |
November 24, 2010 | Primary and Additional Account Retirement- Terra Nova Financial , LLC | |
| 7622-10 |
November 24, 2010 | Primary and Additional Account Retirement- E*Trade Capital Markets, LLC | |
| 7641-10 |
November 23, 2010 | Additional Account Retirement-Genesis Securities, LLC/Stock Loan #7588 | |
| 7623-10 |
November 19, 2010 | Additional Account Retirement: Ridge Clearing & Outsourcing Solutions, Inc./BTIG, #5113 | |
| 7637-10 |
November 18, 2010 | DTC Rule Change SR-DTC-2010-16 regarding the Federal Reserve | |
| 7639-10 |
November 17, 2010 | HOLIDAY SCHEDULE: New Years Eve 2010 | |
| 7638-10 |
November 17, 2010 | Holiday Schedule: Christmas Eve 2010 | |
| 7621-10 |
November 16, 2010 | Additional Account Name Change | |
| 7594-10 |
November 11, 2010 | Additional Account Retirement: Abbey National Securities, Inc./FBO Abbey National Treasury, #7270 | |
| 7593-10 |
November 11, 2010 | Primary Activation: Gleacher & Company Securities, Inc., #5149 | |
| 7560-10 |
November 05, 2010 | Holiday Schedule: Thanksgiving Day 2010 | |
| 7559-10 |
November 05, 2010 | DTC Rule Change SR-DTC-2010-15 relating to the FAST balance certificate | |
| 7511-10 |
November 03, 2010 | Additional Account Name Change: Bank Of America/LaSalle Bank NA, #2251 | |
| 7524-10 |
November 02, 2010 | Primary Account Retirement: NBC Securities, Inc., #0306 | |
| 7510-10 |
November 02, 2010 | Additional Account Name Change: The Bank of New York Mellon/Ellington Strategic MBS FD LP, #2429 | |
| 7523-10 |
October 29, 2010 | Guggenheim Liquidity Services, LLC merger with and into Guggenheim Securities, LLC | |
| 7526-10 |
October 27, 2010 | HOLIDAY SCHEDULE: ELECTION DAY 2010 | |
| 7525-10 |
October 27, 2010 | Holiday Schedule: Veterans Day 2010 REVISED | |
| 7522-10 |
October 27, 2010 | Banc of America Securities LLC merger with and into Merrill Lynch, Pierce, Fenner & Smith Incorporated | |
| 7513-10 |
October 22, 2010 | Proposed Rule Change by DTC (SR-DTC-2010-14) to amend its Certificate of Organization to provide for the authorization of an additional 1,750,000 shares of DTC Series A Preferred Stock. | |
| 7509-10 |
October 22, 2010 | Additional Account Conversion: JPMorgan Chase Bank/ Public Employee Retirement System, #2975 | |
| 7473-10 |
October 22, 2010 | OFAC Renewed License Related To Cuban Electric Company | |
| 7469-10 |
October 22, 2010 | Primary Activation: Industrial and Commercial Bank of China Financial Services LLC, #0388 | |
| 7475-10 |
October 19, 2010 | Primary Account Name Change: Direct Access Brokerage Services, Inc., #7081 | |
| 7477-10 |
October 18, 2010 | DTC Rule Change SR-DTC-2010-13 relating to Deposit Automation Management | |
| 7476-10 |
October 18, 2010 | Suspension of DTC Services: Quri Resources Inc | |
| 7474-10 |
October 18, 2010 | Claymore Securities, Inc. Primary Name Change | |
| 7436-10 |
October 15, 2010 | Additional Account Name Changes | |
| 7468-10 |
October 14, 2010 | Account Retirement- Rafferty Capital Markets, LLC | |
| 7467-10 |
October 13, 2010 | Additional Account Retirement-Banc of America Securities LLC, Securities Lending Services, #5256 | |
| 7435-10 |
October 13, 2010 | Primary Account Activation: Bank of China, New York Branch, #2555 | |
| 7434-10 |
October 12, 2010 | Additional Account Retirement-Banc of America SECS, LLC/FBO: Affiliate Customer, #0774 | |
| 7433-10 |
October 07, 2010 | Pledgee Retirement: Morgan Stanley International Limited, #0964 | |
| 7432-10 |
October 06, 2010 | Additional Account Retirement: U.S. Bank, N.A./USBFS, #2780 | |
| 7431-10 |
October 06, 2010 | Primary Activation: NASDAQ OMX PHLX LLC, #0237 | |
| 7351-10 |
September 30, 2010 | Primary Account Activation: Bankers Bank, #2557 | |
| 7392-10 |
September 24, 2010 | Holiday Schedule for Columbus Day 2010 | |
| 7350-10 |
September 24, 2010 | Pledgee Account Activation: Charles Schwab Bank, #0941 | |
| 7349-10 |
September 20, 2010 | Additional Account Name Changes | |
| 7283-10 |
September 17, 2010 | Account Name Changes: Wedbush Morgan Securities Inc. | |
| 7165-10 |
September 17, 2010 | Additional Account Activation: U.S. Bank, N.A./U.S. Bank Municipal Securities Group, #2781 | |
| 7161-10 |
September 17, 2010 | Additional Account Activation: Legent Clearing/Stock Loan, #7576 | |
| 7282-10 |
September 15, 2010 | Pledgee Retirement: Citibank, N.A., #0908 | |
| 7261-10 |
September 14, 2010 | DTC Rule Change SR-DTC-2010-12 relating to Trustee information | |
| 7160-10 |
September 10, 2010 | Additional Account Activation: Banco Bilbao Vizcaya Argentaria SA New York Branch/BBVA Securities Inc. New York #2786 | |
| 7167-10 |
September 09, 2010 | Additional Account Activation: Nomura Securities International, Inc./Affiliate Clearing, #7507 | |
| 7159-10 |
September 09, 2010 | Additional Account Activation: BNY Convergex Execution Solutions LLC/ Securities Lending #7575 | |
| 7166-10 |
September 08, 2010 | Additional Account Activation: Maple Securities USA Inc./Custody, #0434 | |
| 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 Presidents 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 DTCs Invitation to Cover Shorts functionality | |
| 6134-10 |
January 15, 2010 | DTC Rule Change SR-DTC-2010-01 to expand DTCs 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.