Doc #
Date
Product & Services
Subsidiary,Category
Subject
Jan 27, 2020
New Issue Eligibility
DTC, Underwriting
Section 3 (c) (7) restrictions for owners of the following issue: Shackleton 2019-XV CLO, Ltd. / Shackleton 2019-XV CLO, LLC Securities
Jan 27, 2020
New Issue Eligibility
Section 3 (c) (7) restrictions for owners of the following issue: Shackleton 2019-XV CLO, Ltd. / Shackleton 2019-XV CLO, LLC Securities
Jan 27, 2020
New Issue Eligibility
DTC, Underwriting
Section 3 (c) (7) restrictions for owners of the following issue: Shackleton 2019-XV CLO, Ltd. Securities
Jan 27, 2020
New Issue Eligibility
Section 3 (c) (7) restrictions for owners of the following issue: Shackleton 2019-XV CLO, Ltd. Securities
Jan 23, 2020
New Issue Eligibility
DTC, Underwriting
Section 3(c)(7) restrictions for owners of East West Investment Management CLO 2019-1, Ltd. / East West Investment Management CLO 2019-1, LLC Securities
Jan 23, 2020
New Issue Eligibility
Section 3(c)(7) restrictions for owners of East West Investment Management CLO 2019-1, Ltd. / East West Investment Management CLO 2019-1, LLC Securities
Jan 23, 2020
New Issue Eligibility
DTC, Underwriting
Section 3 (c) (7) restrictions and insurance regulatory considerations for owners of Leo Re Ltd. (“Leo Re”), acting in respect of its segregated account designated as the “Leo Re Segregated Account 2020-1” (Leo Re acting on behalf of the Leo Re Segregated Account 2020-1, the “Issuer”)
Jan 23, 2020
New Issue Eligibility
Section 3 (c) (7) restrictions and insurance regulatory considerations for owners of Leo Re Ltd. (“Leo Re”), acting in respect of its segregated account designated as the “Leo Re Segregated Account 2020-1” (Leo Re acting on behalf of the Leo Re Segregated Account 2020-1, the “Issuer”)
Jan 23, 2020
New Issue Eligibility
DTC, Underwriting
Section 3(c)(7) restrictions for owners of East West Investment Management CLO 2019-1, Ltd. Securities
Jan 23, 2020
New Issue Eligibility
Section 3(c)(7) restrictions for owners of East West Investment Management CLO 2019-1, Ltd. Securities
Jan 23, 2020
New Issue Eligibility
DTC, Underwriting
Section 3 (c) (7) restrictions for owners of the following issue: Madison Park Funding XXXVI, Ltd. / Madison Park Funding XXXVI, LLC
Jan 23, 2020
New Issue Eligibility
Section 3 (c) (7) restrictions for owners of the following issue: Madison Park Funding XXXVI, Ltd. / Madison Park Funding XXXVI, LLC
Oct 21, 2019
New Issue Eligibility
DTC, Underwriting
Section 3(c)(7) restrictions for owners of KKR CLO 27 LTD. Notes
Oct 21, 2019
New Issue Eligibility
Section 3(c)(7) restrictions for owners of KKR CLO 27 LTD. Notes
Oct 21, 2019
New Issue Eligibility
DTC, Underwriting
Section 3(c)(7) restrictions for owners of KKR CLO 27 LTD. / KKR CLO 27 LLC Notes
Oct 21, 2019
New Issue Eligibility
Section 3(c)(7) restrictions for owners of KKR CLO 27 LTD. / KKR CLO 27 LLC Notes
Aug 09, 2019
New Issue Eligibility
DTC, Underwriting
Section 3 (c) (7) restrictions for owners of the following issue: Drawbridge Special Opportunities Fund LP and Drawbridge Special Opportunities Finance Corporation 4.80% Senior Notes due 2022
Aug 09, 2019
New Issue Eligibility
Section 3 (c) (7) restrictions for owners of the following issue: Drawbridge Special Opportunities Fund LP and Drawbridge Special Opportunities Finance Corporation 4.80% Senior Notes due 2022
Aug 09, 2019
New Issue Eligibility
DTC, Underwriting
Section 3(c)(7) restrictions for owners of Trinitas CLO XI, Ltd. and Trinitas CLO XI, LLC Notes Due 2032
Aug 09, 2019
New Issue Eligibility
Section 3(c)(7) restrictions for owners of Trinitas CLO XI, Ltd. and Trinitas CLO XI, LLC Notes Due 2032
Doc #
Date
Product & Services
Subsidiary,Category
Subject