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LEGAL & REGULATORY

Latest Important Notices

Use below listing to find important notices posted starting on September 1st, 2020. To find important notices uploaded prior to September 1st, 2020, please check the “Important Notices Archive” located at the bottom of this page. 

Doc # Date Subsidiary Category Subject
  • GOV1035-21
  • Jan 22, 2021
  • FICC - GOV
  • Service Updates
  • FICC Presidents’ Day Holiday Schedule
  • 14478-21
  • Jan 22, 2021
  • DTC
  • Underwriting
  • Section 3(c)(7) restrictions for owners of ABPCI Direct Lending Fund CLO X LP (the "Issuer") / ABPCI Direct Lending Fund CLO X First Static Subsidiary LP (the "First Static Subsidiary") / ABPCI Direct Lending Fund CLO X Second Static Subsidiary LP (the "Second Static Subsidiary" and, together with the First Static Subsidiary, the "Issuer Subsidiaries") / Offered Notes due 2032
  • 14550-21
  • Jan 22, 2021
  • DTC
  • Distributions, Tax Relief
  • Tax Relief Country: Ireland
    Security: AON PLC
    CUSIP: G0403H108
    Record Date: 02/01/2021 Payable Date: 02/12/2021
    Relief at Source CA Web Deadline: 02/04/2021 8:00 PM ET
    Quick Refund Open Date: Immediately following DR Payable Date
    Quick Refund Instruction Deadline: 02/22/2021 8:00 PM ET
  • 14549-21
  • Jan 21, 2021
  • DTC
  • Distributions
  • Important Tax Information
    Compass Diversified Holdings Common (CODI)
    CUSIP: 20451Q104
    Record Date: 01/15/2021 Payable Date: 01/22/2021
  • 14551-21
  • Jan 21, 2021
  • DTC
  • Depositary Service Fee
  • Depositary Fees Notification
    Security: ALCHIP TECHNOLOGIES, LIMITED 144-A
    CUSIP: 013741103
    Citibank
  • 14546-21
  • Jan 21, 2021
  • DTC
  • Underwriting
  • Section 3(c)(7) restrictions for owners of the following issue: Venture XXVI CLO, Limited and Venture XXVI CLO, LLC
  • GOV1037-21
  • Jan 21, 2021
  • FICC - GOV
  • Membership Updates
  • Delete Sponsored Member
  • GOV1038-21
  • Jan 21, 2021
  • FICC - GOV
  • Membership Updates
  • New Sponsored Member
  • CMU20-21
  • Jan 21, 2021
  • FICC - CMU
  • Membership Updates, Service Updates
  • CONTINENTAL BANK - POSTPONEMENT
  • 14548-21
  • Jan 21, 2021
  • DTC
  • Underwriting
  • Section 3 (c) (7) restrictions for owners of the following issue: Simpar Europe 5.200% Senior Notes due 2031
Doc # Date Subsidiary Category Subject
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Important Notices Archive

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Doc # Date Subsidiary Category Subject
  • 13852-20
  • Aug 31, 2020
  • DTC
  • Dividends, International
  • TaxRelief – Country: FINLAND CARGOTEC CUSIP: 14179X103
    Record Date: 09/04/2020 Payable Date: 09/18/2020
    Relief at Source CA Web Cut-Off: 09/11/2020 8:00 PM ET
  • 13049-20
  • Aug 31, 2020
  • DTC
  • Dividends, International
  • Tax Relief Country: Ireland Security: Medtronic PLC CUSIP: G5960L103 Record Date: 9/25/2020 Payable Date: 10/16/2020 Relief at Source CA Web Cut-Off: 10/7/2020 8:00 PM ET Quick Refund CA Web Cut-Off: 10/26/2020 8:00 PM
  • MBS898-20
  • Aug 31, 2020
  • FICC - MBS
  • Service Updates
  • Clearing, Pool Netting, and EPN Services – FNMA/UMBS – Inclusion of New Coupon
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