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Thursday, September 29, 2011 1:09:53 PM
Restrictions may
also be placed on securities in situations where DTC has been informed by the issuer or its agent,
regulators or law enforcement, or has other compliance concerns that its Cede & Co certificate
inventory has been compromised due to unauthorized, altered, fraudulent or counterfeit share issuance.
If DTC reasonably suspects that all or a portion of its street name holdings are not fungible and freely
transferable, it may decide to chill one or more of its services as it deems appropriate.
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