Search for: "Depository Trust Company"
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17 Oct 2012, 7:42 am
In the latter case, the securities are either held in the name of the intermediary (in “street name”) or, where the intermediary is a Depository Trust Company (DTC) participant, are deposited with DTC and held in the name of DTC’s nominee (Cede & Co.). [read post]
28 Apr 2013, 9:01 pm
Disruption is definitely the hot term du jour. [read post]
30 Sep 2011, 7:20 am
Kang; Issued 8/1/11 – PDF Branch Banking and Trust, Winston-Salem, NC; FDIC-11-280e; against Lisa Michelle Darbrowski; Issued 8/11/11 – PDF First Midwest Bank, Centerville, SD; FDIC-10-869e; against Lee C. [read post]
6 Apr 2020, 8:37 pm
For initial filings and renewal filings (with electronic payment) relating to mutual funds, closed-end funds, unit investment trusts and face-amount certificate companies, e-mail a copy of the Form NF to: (1) dob.sec-reg@ct.gov; and (2) dob.ar@ct.gov. [read post]
24 Apr 2020, 4:24 pm
In particular, we underscore the following: Eligibility for Hedge Funds, Private Equity Firms and Portfolio Companies of Private Equity Firms. [read post]
11 May 2022, 9:01 pm
These rules require such transaction data to be reported to a security-based swap data depository, and thus be available to the SEC. [read post]
15 Aug 2016, 7:49 am
The federal funds rate is the interest rate at which depository institutions lend excess balances in their reserve accounts at their local Federal Reserve District Bank to other depository institutions overnight. [read post]
6 Nov 2017, 9:30 pm
Although the SEC and industry groups have been publicly mulling over shortening the settlement period since the turn of the millennium, the concerted push that led to the SEC, FDIC, and OCC’s rules began with a 2012 study commissioned by the Depository Trust and Clearing Corporation, a company responsible for settling trillions of trades a year. [read post]
17 Jul 2019, 6:55 am
Representatives from depository institutions, federal and state government agencies, a federal task force, money transmitters, third-party service providers, and technology companies attended the session. [read post]
26 Feb 2010, 9:53 am
The problem at its root may be that the current rules against naked short selling are both inadequate and impossible to enforce.In a July 22 letter to the SEC Chair, Senators Kaufman and Isakson, and five other senators, suggested a pilot program as proposed by the Depository Trust & Clearing Corporation (DTCC) to prohibit short sales that do not first acquire a hard locate. [read post]
11 Nov 2009, 4:52 pm
In the examination of Madoff, the SEC did seek records from the Depository Trust Company (DTC) (an independent third-party), but sought copies of such records from Madoff himself. [read post]
23 Apr 2008, 9:07 am
Depository Trust and Clearing Corp., et al. [read post]
11 May 2012, 3:50 am
Although Quesada was supposedly a good employee and worked in phone customer service where she never handled cash on the job, according to Wells Fargo spokesman Jim Hines since the company is an insured depository institution they are “bound by federal law that generally prohibits us from hiring or continuing employment of any person who we know has a criminal record involving dishonesty or breach of trust. [read post]
11 Nov 2009, 10:07 am
The term asset-backed security does not include a security issued by a finance subsidiary held by the parent company or a company controlled by the parent company, if none of the securities issued by the finance subsidiary are held by an entity that is not controlled by the parent company. . [read post]
7 Feb 2024, 9:01 pm
In July 2021, President Biden issued an Executive Order on Promoting Competition in the American Economy (available here), urging, among other things, a “revitalization of merger oversight under the Bank Merger Act and the Bank Holding Company Act of 1956. [read post]
22 May 2017, 3:00 am
Plaintiffs allege that depository institutions like ReconTrust did not have authority to enforce the power-of-sale provisions in the deeds of trust that secured the properties. [read post]
31 Jan 2017, 1:06 pm
Many U.S. companies point to the more “FinTech friendly” regimes in other countries. [read post]
26 Feb 2008, 6:26 pm
I trust him/her completely and ask the Probate Court to honor my selection of my Guardian. [read post]
4 Aug 2011, 4:53 pm
Century Bank, Doral, FL; FDIC-11-174b; Issued: 6/7/11 – PDF The Coastal Bank, Savannah, GA; FDIC-11-055b; Issued: 6/2/11 – PDF Covenant Bank, Chicago, IL; FDIC-11-022b; Issued: 6/6/11 – PDF Kenney Bank and Trust, Kenney, IL; FDIC-11-163b; Issued: 6/3/11 – PDF Vermont State Bank, Vermont, IL; FDIC-11-133b; Issued: 6/6/11 – PDF PBI Bank, Louisville, KY; FDIC-11-145b; Issued: 6/24/11 – PDF Peoples State Bank of Madison Lake, Madison Lake, MN; FDIC-11-185b;… [read post]
4 Nov 2009, 7:20 am
Temecula, too, had been seized by the FDIC and its deposit accounts were sold to a new company, First-Citizens Bank & Trust Company of Raleigh, N.C. [read post]
