The Real DTCC Discussion

[jbsliverer]

Brokers are coming in with their own "risk assessments" apart and with the DTCC. But there are a some DTCC "service restrictions" that don't go out in public notice and only to the DTCC's members (like Brokers). But yes, those are the type of things that give warnings to traders or investors that will indicate that a "chill" of some type may be coming at any time. Of course any trader of investor has a choice to put their own "chill" on the stock when they see this kind of crud (improper or lack of filings, dubious promotions, etc) before any Broker or the DTCC comes in.

I have Fidelity, DTRO did a R/S in Oct.2011, They are not current with filing and fees for the State of Nevada, I also understand # of BoD has something to do with chill, they only have 2, the CEO, and 1 other Board member. Also not current on filing with SEC since Sep. 2011. Am I correct on the things that bring on a chill? By the way you guys are doing a good job with the Board!