Search for: "The Depository Trust Company"
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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]
12 Feb 2010, 6:37 am
In the article, Funk provides a primer on organizing and operating a non depository, or fiduciary-services-only, trust company, calling New Hampshire "the best state in the country to [read post]
10 Feb 2010, 6:21 pm
,” the name used by The Depository Trust Company (“DTC”). [read post]
8 Jan 2010, 8:00 pm
The Act governs NVs (‘public limited liability company’) and BVs (‘private limited liability company’). [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]
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]
4 Nov 2009, 2:52 pm
" He said he was "astonished" that they didn’t ask for DTC (Depository Trust Company) records, and stated that only a regulator could get those records from DTC, and the SEC would "have to go to DTC. [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]
2 Oct 2009, 8:37 am
• The failure to catch and stop Madoff is defacto intentional when it would take only a single phone call to the Depository Trust Company to learn that Madoff never held the securities positions he claimed to have held, but for sixteen years, through six complaints and five investigations, not a single member of the SEC, not a single one of its supposed investigators, ever made that single phone call. [read post]
30 Sep 2009, 6:00 am
Put in place policies and procedures or training mechanisms to ensure staff have an understanding of what types of information should be validated during investigations with independent parties such as the Financial Industry Regulatory Authority, Depository Trust Company, and Chicago Board Options Exchange. [read post]
24 Sep 2009, 10:14 am
The SEC did request records from the Depository Trust Company (DTC) (an independent third party), but the record request was made to Madoff. [read post]
13 Sep 2009, 2:36 am
For example, SEC asked for trading records relating to the Depository Trust Company (DTC), but sought those copies from Madoff himself. [read post]
2 Sep 2009, 11:53 am
” > In investigating Madoff for running a Ponzi scheme, the SEC never verified Madoff’s trading through an independent third party, such as the Depository Trust Company or the National Association of Securities Dealers (NASD). [read post]
2 Sep 2009, 11:01 am
You know, I’ll bet that most Madoff victims did not even know that there is a Depository Trust Company or what it does. [read post]
24 Aug 2009, 11:15 am
Wright, a church secretary from Whitestown, Indiana, lost thousands of dollars in a bond fund formerly managed by Morgan Keegan & Company. [read post]
6 Aug 2009, 7:04 am
Participants have until September 30 to advise CDS whether they will remain a CDS-sponsored participant or become direct members of the NSCC and Depository Trust Company (DTC). [read post]
22 Jun 2009, 10:20 am
” The white paper specifically targets the limited supervision afforded to holding companies of thrifts, industrial loan companies, credit card banks, trust companies and grandfathered depository institutions, which are not subject to the BHC Act. [read post]
17 May 2009, 5:18 am
Wise would move operations to Napa, California, and create fictitious Limited Liability Companies (LLC's) in Las Vegas, Nevada, based loosely on Millennium's purported Swiss parent, United Trust of Switzerland, in order to open bank accounts there. [read post]
