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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
  • 14350-20
  • Nov 25, 2020
  • DTC
  • Underwriting
  • Section 3(c)(7) restrictions for owners of the following issue: Venture 40 CLO, Limited and Venture 40 CLO, LLC
  • 14351-20
  • Nov 25, 2020
  • DTC
  • Underwriting
  • Section 3(c)(7) restrictions for owners of the following issue: Venture 40 CLO, Limited
  • 14344-20
  • Nov 25, 2020
  • DTC
  • Underwriting
  • Section 3 (c) (7) restrictions for owners of Kommunalbanken AS
  • 14348-20
  • Nov 25, 2020
  • DTC
  • Distributions, Tax Relief
  • Tax Relief – Country: FRANCE
    PERNOD-RICARD SA CUSIP: 714264207
    Record Date: 12/08/2020 Payable Date: 12/28/2020
    CA Web Instruction Deadline: 12/15/2020 8:00 PM ET
  • 14349-20
  • Nov 25, 2020
  • DTC
  • Distributions, Tax Relief
  • Tax Relief – Country: FRANCE
    THALES CUSIP: 883219206
    Record Date: 12/02/2020 Payable Date: 12/24/2020
    CA Web Instruction Deadline: 12/09/2020 8:00 PM ET
  • 14261-20
  • Nov 25, 2020
  • DTC
  • Depositary Service Fee
  • Depositary Fees Notification
    Security: JSC Kaspi.kz – 144A
    CUSIP: 48581R106
    Bank of New York Mellon
  • 14353-20
  • Nov 25, 2020
  • DTC
  • Depositary Service Fee
  • Depositary Fees Notification
    Security: Molecular Data
    CUSIP#: 60852L106
    JPMorgan Chase Bank, N.A.
  • GOV1005-20
  • Nov 25, 2020
  • FICC - GOV
  • Membership Updates
  • New Sponsoring Member of the Government Securities Division of FICC:
    Goldman Sachs & Co. LLC/Omnibus – GSD# 9647
  • MBS935-20
  • Nov 25, 2020
  • FICC - MBS
  • Membership Updates
  • BOFA Securities, Inc. [MLMN & MLFI] - Intent to Retire
  • 14354-20
  • Nov 25, 2020
  • DTC
  • Distributions, Tax Relief
  • Tax Country: United Kingdom Security: Land Securities Group PlC
    CUSIP: 514674308
    Record Date: 11/27/2020
    Payable Date: 01/19/2021
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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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