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As the pledgor, DTC's Director of Compliance will notify you that the Honest Broker procedure will be made available. After you are notified, you must

  • Identify the affected pledgees to DTC and
  • Notify the affected pledgees of your intent to use the Honest Broker procedure.

 

DTC will grant you access to the Honest Broker functions, which consist of various options that allow you to execute and cancel deliver order (DO) transactions and to maintain the Pledgee-CUSIP Assignment List and enter CNS deliver orders.

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