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Thursday, September 13, 2012 4:46:05 PM
I had already posted here DTCC rules and regulations. In regard to its notices, they are expressly clear: in the prescribed manner, DTCC must serve the company with the notice outlining the charges. WITHIN TWO DAYS, the company must file objections. DTCC usually summarily rejects them. The company's next step then is an appeal to SEC challenging the charges. But before filing an appeal with SEC, this targeted company MUST exhaust this remedy. And how it would appeal, against exactly what, without even knowing the charges!
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