Search for: "Depository Trust and Clearing Corporation"
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9 Oct 2015, 5:00 am
Their broker, TD Ameritrade, used Depository Trust & Clearing Corporation to hold the shares on the Harrises’ behalf. [read post]
1 Jul 2015, 5:01 am
They also said the proposal does not seek changes to settlement cycles in primary markets.Moreover, the Industry Steering Committee (ISC), in conjunction with PricewaterhouseCoopers LLP, The Depository Trust & Clearing Corporation, SIFMA, ICI and others, has issued a white paper that explains the proposal in greater detail. [read post]
26 May 2015, 2:50 pm
Guidance Update Regarding Key Employee Trusts and Family Office Rule. [read post]
26 May 2015, 2:50 pm
Guidance Update Regarding Key Employee Trusts and Family Office Rule. [read post]
20 May 2015, 6:51 am
Garcia, testifying for the Financial Services Sector Coordinating Council, had explained in his prepared remarks that this software is a joint venture between the Financial Services Information Sharing and Analysis Center (FS-ISAC) and the Depository Trust and Clearing Corporation that allows for automated threat sharing within the financial services industry. [read post]
3 Sep 2014, 11:37 am
The Depository Trust & Clearing Corporation (DTCC) and the CME Group both have registered repositories.Against the opposition of DTCC, the CME Group gained CFTC approval in March 2013 to require that information about swap transactions to be reported to its own captive data repository. [read post]
7 Apr 2014, 6:24 am
On March 12, the SEC issued a 400-page rule proposal that, if adopted as proposed, would impose a multitude of new compliance requirements on The Options Clearing Corporation (“OCC”), The Depository Trust Company (“DTC”), National Securities Clearing Corporation (“NSCC”), Fixed Income Clearing Corporation (“FICC”) and ICE Clear Europe. [read post]
28 Sep 2013, 4:35 pm
I've written about this, at length, in an article considering, among other things, whether preemption rights travel with a loan when it is securitized (and is no longer held by a federally chartered depository of some sort, but by a state law entity, such as a trust). [read post]
19 Jul 2012, 11:53 am
The authority to designate financial market utilities is an important component of the Dodd-Frank Act and is one of a number of tools now available to constrain risk and help protect against future financial crises.The designated financial market utilities are: The Clearing House Payments Company, L.L.C., on the basis of its role as operator of the Clearing House Interbank Payments System; CLS Bank International; Chicago Mercantile Exchange, Inc.; Depository… [read post]
16 Jun 2012, 12:25 pm
The testimonies presented great information about cyber attacks on the industry, particularly those of:Michele Cantley, Regions BankMark Clancy, Depository Trust and Clearing CorporationJames Woodhill, YourMoneyIsNotSafeInTheBank.orgThe webcast and other testimonies are available here. [read post]
12 Apr 2012, 3:16 pm
On April 10, 2012, the MSRB requested comments on draft amendments to MSRB Rules G-32 and G-34 that would allow underwriters to satisfy certain reporting requirements by submitting information to the New Issue Information Dissemination Service (“NIIDS”) operated by the Depository Trust and Clearing Corporation. [read post]
11 Apr 2012, 1:13 am
{15] Federal banking regulators are required to investigate insured depository institution failures and bring lawsuits to recover damages. [read post]
12 Jan 2012, 12:02 pm
The recent slashes in the budget of the Legal Services Corporation (a congressionally created and funded entity that distributes money to programs providing legal services to the indigent), and plummeting revenues from states' IOLTA funds (Interest on Legal Trust Accounts, the funds many states derive by requiring depository institutions to remit the interest on lawyers' trust accounts to the state to fund legal services for the needy) resulting… [read post]
1 Jan 2012, 10:56 am
For example, Canadian financial institutions actively rely on the systems operated by The Depository Trust & Clearing Corporation (DTCC) for clearing and settlement of transactions involving US securities. [read post]
6 Dec 2011, 7:31 am
A depository by any other name? [read post]
28 Nov 2011, 8:57 pm
Such customer funds when deposited with any bank, trust company, clearing organization or another futures commission merchant shall be deposited under an account name which clearly identifies them as such and shows that they are segregated as required by the Act and this part. [read post]
17 Oct 2011, 12:37 pm
The clearing firm can try to elicit more information, but generally the conversation is with introducing brokers because they have the primary relationship.Mihal Nahari, Chief Compliance Officer, The Depository Trust & Clearing Corporation (DTCC), noted that the focus in the microcap area is usually on the proper exemption from registration. [read post]
28 Jul 2011, 2:00 am
Dienst asserted that he was also “concerned about interloper threats” from Nucor Corporation and Steel Dynamics Corporation. [read post]
9 Jul 2011, 3:12 pm
Langford and StaxxRing sought declaratory and injunctive relief as well as a constructive trust, damages, attorney's fees, and exemplary damages. [read post]
5 Apr 2011, 5:31 am
KBR argued that RTS is not a record holder, because it is an investment adviser and is not a participant in the Depository Trust Co. [read post]
