Search for: "Depository Trust and Clearing Corporation"
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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]
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]
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]
9 Mar 2009, 12:00 pm
Donahue, Chairman & CEODaniel Hobson, Director of Diversity, The Depository Trust & Clearing Corporationand Gail Gaines, Principal, The Essence School Lisa Belzberg, Principal, Leeds Equity PartnersE. [read post]
7 May 2018, 10:25 pm
It is not clear what the implications are, if any, for PHEAA/AES, the primary servicer (of performing loans and - apparently - those less than 180-days delinquent). [read post]
19 Jul 2023, 9:42 am
Saluzzi cited as an example of that conflict two data products offered by Depository Trust & Clearing Corporation (DTCC) that could potentially be used as inputs for computerized trading strategies. [read post]
8 Dec 2021, 8:47 am
The emphasized language makes it clear and unambiguous that a blanket policy providing for a depository to be used in all probate cases is improper. [read post]
12 May 2009, 1:17 pm
According to the article, the Depository Trust & Clearing Corporation submits that creditors which hold $34 billion in credit default swaps will "make a net profit of $2.4bn if GM were to default. [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]
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]
3 May 2007, 1:20 am
Depository Trust & Clearing Corp. [read post]
20 Jul 2020, 10:41 am
Nina Neer, director of Technology Operational Risk Management at Credit Suisse, and Jason Harrell, head of Business and Government Cybersecurity Partnerships at The Depository Trust & Clearing Corporation discussed these issues and provided actionable advice for addressing risks associated with a work-from-home setting. [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]
26 Apr 2021, 9:05 pm
” The Depository Trust & Clearing Corporation (DTCC) stands at the center of most securities transactions in the U.S. securities markets. [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]
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]
15 Apr 2024, 9:01 pm
Custodia has a Special Purpose Depository Institution (SPDI) charter from the State of Wyoming that allows it to take deposits but does not require it to obtain insurance from the Federal Deposit Insurance Corporation (FDIC). [read post]
14 Mar 2023, 6:01 pm
Deposits versus other financial products Various deposit account sweep products offered by depository institutions have terms that differ dramatically from product to product. [read post]
21 Mar 2024, 1:16 pm
A “transferee entity” may be a corporation, partnership, estate, association, or limited liability company. [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]
