What can investors do? Prior to investing in a security, investors can ask their broker-dealer if there are or ever have been any DTC restrictions placed on any security they are considering buying or selling. This information may affect your decision to purchase or sell the security. The broker-dealer or the broker-dealer’s compliance department should be able to address the inquiry by checking with its back office or by calling its account manager at DTC. Given that DTC does not always disclose the reason for a chill or freeze, a broker-dealer may not be able to provide its customer with information as to why the freeze was imposed or if or when it will be lifted. Investors should also thoroughly research the company and its transfer agent prior to investing in the security.
Zu; don't know about the Chill, however, when I contacted Schwab about them adding the "Subj To XTRO Redemption" to my CT listings they did not say ANYTHING about a CHILL, they did say the Statement was sent out by the DTCC. I would think if they were in a Chill also they would have said something ab out it. Who knows what is going on???????
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