Colonial's Corporate Guidance Services

Colonial offers consultation and guidance services on a per-hour basis for 15c-211 applications, DTC initial and FAST eligibilty applications, S-1 registration statements, stock exchange applications, shell company strategies and more. Please note that we are not able to provide legal advice or act as professional legal counsel.

For more information, call 801-355-5740 or send an email.

DTC Eligibility and Application

Once a corporation has received approval to trade from FINRA and the SEC through a registration statement and a 15c2-11, the company can apply to become DTC eligible, so its shares may trade electronically between brokerage accounts (a.k.a. street name). Shares can trade manually between broker accounts without being DTC eligible, however, trading volume and shareholder involvement may be inhibited due to processing lags.

After eligibility has been approved, DTC will hold free-trading "street name" shares in its partnership nominee name, "Cede and Co". These shares are referred to as the "float."

To apply, please refer to the DTC Eligibility Application and the DTC Operational Agreement. These forms and your legal counsel should guide you through the process.

Stock Exchange Applications

Is your company interested in applying for an exchange listing? If so, please click below to learn more:

NYSE
NASDAQ
NYSE AMEX

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