DTC Eligibility Forms


Download
Form Description

Eligibility Questionnaire

Eligibility Questionnaire must be completed by the issuer in an application for DTC issue eligibility.

Transfer Agent Attestation

Transfer Agent Attestation must be completed by the transfer agent in an application for DTC issue eligibility.

Operational Arrangements

Operational Arrangements explains what is necessary for securities to become and remain eligible for DTC services

Letter of Representations

Issuer Letter of Representations (ILOR) needs to be completed by Issuer and Co-Issuer(s), if applicable.

Blanket Letter of Representations

Blanket Issuer Letter of Representations (BLOR) needs to be completed by Issuer and Co-Issuer(s), if applicable.

REIT Letter

A REIT Letter is required for equity issuances by a REIT issuer subject to ownership percentage thresholds.

Gaming Letter

A Gaming Letter is required for issuers involved in activity subject to Gaming and/or other types of Regulatory Commissions.

SEC Registration Letter

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")

get adobe reader

For all other Issue Eligibility Forms, please visit //www.dtcc.com/legal/issue-eligibility.aspx