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Comments on DTC Rulemaking

Notice of Filing of Proposed Rule Change to specify procedures available to issuers of securities deposited at DTC for book entry services when DTC imposes or intends to impose restrictions on the further deposit and/or book entry transfer of those securities

(Release No. 34-71132; File No. SR-DTC-2013-11)


Apr. 15, 2014 Daniel Zwiren, President and CEO, and Edward Petraglia, General Counsel, Optigenex Inc.
Apr. 15, 2014 Charles V. Rossi, Chairman, STA Board Advisory Committee, The Securities Transfer Association, Inc.
Apr. 10, 2014 Louis A. Brilleman
Mar. 19, 2014 Susanne Trimbath, PhD, MBA, Chief Executive Manager, STP Advisory Services, LLC, Omaha, Nebraska
Mar. 14, 2014 DTCC BigBake
Mar. 3, 2014 Isaac Montal, Managing Director and Deputy General Counsel, DTCC, New York, New York
Feb. 24, 2014 Gary Emmanuel and Harvey Kesner, Sichenzia Ross Friedman Ference LLP, New York, New York
Feb. 10, 2014 Isaac Montal, Managing Director Deputy General Counsel, DTCC, New York, New York
Jan. 14, 2014 Gary Emmanuel and Harvey Kesner, Sichenzia Ross Friedman Ference LLP, New York, New York
Jan. 14, 2014 Louis Brilleman, New York, New York
Jan. 14, 2014 Charles V. Rossi, Chairman, STA Board Advisory Committee, The Securities Transfer Association, Inc., Hazlet, New Jersey
Jan. 9, 2014 John J. Petrofsky, Director and Associate Counsel, The Depository Trust Company
Jan. 8, 2014 Brenda Hamilton, Hamilton & Associates Law Group P.A.
Dec. 27, 2013 DTCC BigBake
Dec. 22, 2013 Simon S. Kogan, Esq., Staten Island, New York
Dec. 20, 2013 Suzanne H. Shatto, Mountlake Terrace, Washington

 

http://www.sec.gov/comments/sr-dtc-2013-11/dtc201311.shtml

Modified: 04/16/2014