My list, which was created by a poster named Mikey contains CHILLS and GLOBAL LOCKS issued via public notices and their “LIFTING” or “RESUMPTION’ of services when the restriction is removed via public notice. The CHILLS listed however are a form of restriction that no longer is applied, they are called “CNS Exits and Trade for Trade designations”. These were stopped in March, 2012 after the SEC found them to not meet CFR requirements of Due Process. If a security has a Global Lock applied it is followed by Suspension of all Services ex CS on the list.
The old CHILL may only affect those who use certain brokers like TDA for example, which will not allow buying securities under such a CHILL, only the sale of such securities is allowed. If a security has a Global Lock applied to it all accounts are frozen, no broker will allow regular trade transactions. The security is pretty much dead in the water until the shell/company addresses the problem identified by the DTCC.
A good place to start is the following link, it answers the basics, although some of the information is dated, it is still accurate for use.
The common reason to have a security restricted of DTC services is due to the sale of unregistered shares into the market that are potentially “Restricted’ shares that are not properly exempted by SEC Rule 144. This is illegal as only FREE TRADING shares are to be sold into the market with proper documentation to show they qualify for such an exemption without registration.
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