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Comments on DTC Rulemaking
Notice of Filing Amendment Nos. 1 and 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a 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. 34-71745; File No. SR-DTC-2013-11)
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| Jul. 1, 2014 | Jan Harris |
| Jun. 27, 2014 | William Ferguson, Carlton Huxley Ltd. |
| May 9, 2014 | Suzanne H. Shatto, Mountlake Terrace, Washington |
| May 6, 2014 | Isaac Montal, Managing Director Deputy General Counsel, DTCC, New York, New York |
| May 5, 2014 | Daniel Zwiren, President and CEO, and Edward Petraglia, General Counsel, Optigenex Inc. |
| Apr. 29, 2014 | Harvey J. Kesner, Gary M. Emmanuel, and Matthew P. Canini, Sichenzia Ross Friedman Ference LLP |
| Apr. 29, 2014 | Isaac Montal, Managing Director Deputy General Counsel, DTCC, New York, New York |
| 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 |
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)
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| 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
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