Electronic Trading - Securities & Going Public Lawyers

What Is DTC Eligibility? Going Public Attorneys

DTC’s eligibility creates liquidity for companies after a going public transaction. DTC’s Issue Eligibility program allows newly issued securities as well as secondary offerings that meet DTC’s eligibility criteria to become eligible for the depository and book-entry services… Read More

FINRA Proposes New Rules For Algorithmic Trading Strategies

FINRA is proposing new rules that will impact algorithic trading strategies. If an individual performs a trade on another person’s behalf, that associated person is required to register with FINRA as an equity trader. The Financial Industry Regulatory Authority… Read More

DTC Eligibility Explained By The Going Public Attorneys

Posted by Brenda Hamilton, Securities and Going Public Lawyer Q. What is The Depository Trust Company (“DTC”)? A. DTC is the only stock depository in the United States. Q. How do public companies obtain a DTC eligibility? A…. Read More

DTC Chills & Global Locks l Securities Lawyer 101

Securities Lawyer 101 Blog The Depository Trust Company (DTC) is the only stock depository in the United States.  When DTC provides services as the depository for an issuer’s securities, its securities can trade electronically. Without DTC eligibility, it is… Read More