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Sunday, April 07, 2024 2:57:31 PM
As you go through the process of applying for DTC eligibility, there are different documents that the underwriting department may request. The exact documents requested will depend on the nature of your application. Some of the documents that they may request include:
An offering document. Hmmmm, interesting.
A completed eligibility questionnaire that has been signed by the participant
A DTC Letter of representation, which may be a blanket letter or a letter used only for one-time issuances
A rider, which is typically required only for Reg S and non-US issuing companies
Because the DTC eligibility application process can take a while, it is important to have all of these documents ready ahead of time. You may not know exactly what documents the DTC underwriting department is going to ask for, but if you have these documents ready ahead of time, you may be able to expedite the application process. If you work with a reliable transfer agent service, you can streamline the application process and ensure all documents are ready to go."
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