Search for: "Depository Trust Company"
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13 Jun 2010, 10:05 pm
Brost, Sorenson and the other defendants are alleged to have concealed the fact that the companies, Syndicated Gold Depository (SGD) and Merendon Mining Corp., Ltd., were actually shell companies which the defendants owned or controlled. [read post]
13 Jun 2010, 10:05 pm
Brost, Sorenson and the other defendants are alleged to have concealed the fact that the companies, Syndicated Gold Depository (SGD) and Merendon Mining Corp., Ltd., were actually shell companies which the defendants owned or controlled. [read post]
7 Jun 2010, 11:54 am
Non-traded REITs such as Behringer Harvard REIT I, Behringer Harvard Opportunity, Wells Real Estate Investment Trust II, Inland America Real Estate Trust and Inland Western Retail Real Estate Trust may become more transparent thanks to a new platform under development by the Depository Trust and Clearing Corporation (DTCC). [read post]
21 May 2010, 4:38 am
Section 929C.PCAOB The Madoff fraud revealed that the Public Company Accounting Oversight Board lacked the powers it needed to examine the auditors of broker-dealers. [read post]
20 May 2010, 5:47 am
Depository Trust, decided on May 14. [read post]
17 May 2010, 7:42 am
Depository Trust (download here), provides some much needed guidance on what rises to the level of an action that an employee can claim retaliation for. [read post]
30 Apr 2010, 12:47 pm
Chevedden originally argued that Rule 14a-8(b)(2) was satisfied by a letter from RAM Trust Services (RTS), his "introducing broker," while Apache asserted that Chevedden was required to obtain a confirming letter from the Depository Trust & Clearing Corp. [read post]
25 Apr 2010, 5:00 am
” Chevedden, like most owners, held his shares in a street name account, with the shares deposited in Cede & Co., the depository operated by Depository Trust Company. [read post]
19 Apr 2010, 10:00 am
If the answer is not an escrow of trust account, there may be problems. [read post]
10 Apr 2010, 12:20 pm
Trust us, they say. [read post]
30 Mar 2010, 5:00 am
In such a case, each trust, estate or account is a distinct holder of record for purposes of Sections 12(g) and 15(d). [read post]
20 Mar 2010, 7:31 am
(2A) Without prejudice to the provisions contained in sub-section (2), the Board may take measures to undertake inspection of any book, or register, or other document or record of any listed public company or a public company (not being intermediaries referred to ins section (12), which intends to get it securities listed on any recognized stock exchange where the Board has reasonable grounds to believe that such company has been indulging in insider trading or… [read post]
19 Mar 2010, 2:22 pm
The term “clearing agency” is defined in the Act as a person or company that, (a) acts as an intermediary in paying funds or delivering securities, or both, in connection with trades and other transactions in securities, (b) provides centralized facilities for the clearing of trades and other transactions in securities, including facilities for comparing data respecting the terms of settlement of a trade or transaction, or (c) provides centralized facilities as a… [read post]
12 Mar 2010, 10:50 am
Chevedden later – more than 14 days after the deficiency notice – gave Apache a letter from Northern Trust, RTS’ custodian participant in the Depository Trust Company (DTC), the registered holder of the shares in question. [read post]
12 Mar 2010, 5:00 am
The prohibition on vote buying traditionally arose in the context of companies acquiring votes to facilitate shareholder approval. [read post]
11 Mar 2010, 9:02 am
Judge Rosenthal wrote that the staff position in Hain Celestial was more consistent with the text of Rule 14a-8(b)(2) than the restrictive position Apache advanced, that the rule required confirming letters from the Depository Trust Company or Cede & Co. [read post]
9 Mar 2010, 7:02 am
You must also include your own written statement that you intend to continue to hold the securities through the date of the meeting of shareowners … Unlike most Americans, Apache’s attorneys know that shares registered in “street name” are held by the Depository Trust Corporation (DTC), under its nominee name Cede & Co. [read post]
8 Mar 2010, 5:00 am
In public companies, these shares are typically held by brokers (and sometimes banks) who then place them into a central depository (The Depository Trust & Clearing Corporation or DTC). [read post]
5 Mar 2010, 9:05 am
The Office of Financial Regulation is charged with safeguarding private financial interests of the public through licensing, chartering, examining, and regulating depository and non-depository financial institutions and financial service companies in Florida. [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]
