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
April 19, 2016 in Depository Trust Company (DTC), DTC Chill, DTC Eligibility, DTC Global Locks, NASDAQ, NYSE MKT, Regulation SHO, SEC, The FAST Act, Uncategorized
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
January 28, 2014 in Depository Trust Company (DTC), DTC Chill, DTC Eligibility, DTC Global Locks, Form 10, Global Lock, Rule 144, Securities Attorneys, White Paper
DTC Unveils Procedures and Plans for a Rule Change that Applies to Issuers Affected By Chills and Locks
October 08, 2013 in Depository Trust Company (DTC), DTC Chill, DTC Eligibility, DTC Global Locks, Global Lock, Rule 144, Securities Attorneys, White Paper