DTC Eligibility Forms
| Download | Form Description |
|
Eligibility Questionnaire must be completed by the issuer in an application for DTC issue eligibility. |
|
|
Transfer Agent Attestation must be completed by the transfer agent in an application for DTC issue eligibility. |
|
|
Operational Arrangements explains what is necessary for securities to become and remain eligible for DTC services |
|
|
Issuer Letter of Representations (ILOR) needs to be completed by Issuer and Co-Issuer(s), if applicable. |
|
|
Blanket Issuer Letter of Representations (BLOR) needs to be completed by Issuer and Co-Issuer(s), if applicable. |
|
|
A REIT Letter is required for equity issuances by a REIT issuer subject to ownership percentage thresholds. |
|
|
A Gaming Letter is required for issuers involved in activity subject to Gaming and/or other types of Regulatory Commissions. |
|
|
Procedures for Submitting a Notice of Exchange of Securities Eligible at DTC Issued Pursuant to Rule 144A & Regulation S, if applicable, now Registered with the SEC under an Effective Registration Statement or Shelf Registration ("Exchange Letter") |
|
|
|
|
For all other Issue Eligibility Forms, please visit //www.dtcc.com/legal/issue-eligibility.aspx |
|
