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  • About Investment Identification

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    At your request, DTC will segregate securities for the account of a firm, partner, officer, stockholder, or for an omnibus account. Securities are segregated by the serial number appearing on the Investment Identification Instruction form. The serial number appears on the Participant Daily Activity Statement on the date of activity and is reported on the end-of-month statement until you no...
  • About Memo Segregation (Memo Seg)

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    Participants can protect fully-paid-for customer securities using the Memo Segregation function. Memo Segregation is similar to the Segregation function, which allows a Participant to protect fully-paid-for customer securities by moving them from a free position to a protected (segregated) position. However, whereas Segregation allows a Participant to move only existing positions, Memo...
  • How Memo Segregation Works

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    A Participant can have its Memo Segregation counter automatically increased upon receipt of certain transactions. The Participant can also allow positions resulting from certain transactions to be available for redelivery (turnaround) regardless of Memo Segregation constraints. DTC gives the Participant two options for creating Memo Segregation positions: Provide DTC with specific Memo...
  • Non-Optional Memo Segregation Transactions

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    Independently of the preceding options, the following transactions always reduce a Participant’s Memo Segregation position: Withdrawals-by-transfer (WTs) Certificates-on-demand (CODs) Free deliver orders (DO), except those processed with reason codes 10-29, 98, 100, 220, 260-268, 270-278, 280-288, 290-291, 396, 600-619, 704-708, and CNS short covers Deliveries processed with reason codes 95,...
  • Optional Memo Segregation Indicators

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    A Participant can activate any of five Memo Segregation indicators by providing DTC with a standing Memo Segregation instruction. When the Participant activates a Memo Segregation indicator, the Participant’s free position and Memo Segregation position are automatically updated according to the indicators that the Participant has elected. Activate Indicator To 1 Automatically increase the...
  • About Sub-Accounting (Segregation of Securities)

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    The Sub-Accounting Service allows you to protect securities on deposit at DTC by moving them from your general free account to your segregated account. The securities remain segregated and unavailable for any transactions until you authorize DTC to release them and return them to your general free account. On payment day, DTC will automatically allocate cash merger and mandatory put payments as...
  • SEG-100 Account

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    You may deposit certain foreign-owned shares of communications, maritime, and specialized ownership issues, as specified in the Corporate Eligible Securities Book, into a special account at DTC identified as segregation account #100 (seg-100). You can move securities back and forth between your general free account and your seg-100 account, as appropriate, to reflect changes in the amount of...
  • Inventory Management System (IMS)

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    IMS is a single point of entry for all trade-related input into the settlement system from customers, central matching utilities, service bureaus, including trade related net settlements from CNS. IMS allows profiles to be set to either active or passive. Without IMS, participants may have to internally withhold some or all deliveries from the processing system and release them to DTC in the...

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