SEC Chair Jay Clayton Discusses Direction Of SEC
In a much talked about speech to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton set forth his thoughts on...
Home Archive by Category "Depository Trust Company (DTC)"
Depository Trust Company (DTC)
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SEC Adopts The T+2 Trade Settlement Cycle
ABA Journal’s 10th Annual Blawg 100 —————————————̵...
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SEC Proposes Shortening Trade Settlement
On September 28, 2016, the SEC proposed a rule amendment to shorten the standard broker-initiated trade settlement cycle from three...
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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 intend...
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An Update On Dealing With The DTC Following The SEC’s Ruling On International Power Group, Ltd.
Back in October and November of 2011, I wrote a series of blogs regarding DTC eligibility for OTC (over-the-counter) Issuers. OTC I...
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