Law Blog Category: DTC Global Locks

DTC Again Proposes Procedures For Issuers Subject To Chills And Locks

On June 3, 2016, the DTC filed a new set of proposed rules to specify procedures available to issuers when the DTC imposes or intends to impose chills or locks. The issue of persistent and increasing chills and global locks which once dominated many discussions related to the small- and micro-cap space has dwindled in Read the full article…

The U.S. Capital Markets Clearance And Settlement Process

Once Again, DTC Amends Proposed Procedures for Issuers Affected by Chills and Proposes Subsequent Rule Change

DTC Has Published Proposed Rules Related To Chills and Locks

DTC Unveils Procedures and Plans for a Rule Change that Applies to Issuers Affected By Chills and Locks