Issuers, Transfer Agents, Attorneys, Accountants, Broker-Dealers & IR Firms
Issuer Solutions has been built on Integrity, Grown on Trust and Confidence.
Our clients trust us to assist their issuer customers to efficiently obtain DTC eligibility. We take great pride in our relationships and continue to build upon our unmatched track record of assisting more than 400 issuers in obtaining DTC eligibility since 2011.
Our clients have confidence in our proven solution: we have only had one issuer declined by DTC*. We understand our clients’ needs and our mission is to provide solutions that exceed expectations.
Part of our value-added service is we maintain an extensive financial services network and can provide our clients access to market makers who can file form 15c2-11’s for U.S. and foreign issuers.
* Despite our successful track record, we cannot guarantee DTC eligibility.
Types of DTC Eligible Securities
We assist both private and public issuers ranging from microcap to large cap companies. There is a broad list of security types which may be made eligible for DTC’s services in accordance with DTC rules.
These security types include but are not limited to the following:
Common and Preferred Stock, Warrants, Rights, Corporate Debt and Notes, Municipal Bonds, Government Securities, Asset-Backed Securities, Collateralized Mortgage Obligations, Equity and Debt Derivatives, Variable-Rate Demand Obligations, Money Market Instruments (e.g., Commercial Paper, Bankers’Acceptances, Institutional Certificates of Deposit, Short-Term Bank Notes, Discount Notes, and certain Medium-Term Notes), American/Global Depository Receipts, Shares of Closed-End Funds, Retail Certificates of Deposit, Unit Investment Trust Certificates, Shares of Exchange Traded Funds, and Insured Custodial Receipts