Legal & Regulatory
Important Notices
The Depository Trust Company (DTC)
| Doc # | Date | P&S No. | Subject |
|---|---|---|---|
 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.