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16 Jan 2014 ... The DTC Rules applicable to its Participants are on file with the. Securities and Exchange Commission. Purchases of the Bonds under the DTC system must be made by or through .....
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Rule 15c212b1 refers to the filing requirements for Securities Act Rule 144.
Individuals or entities looking to sell restricted or control securities under Securities Act Rule 144 are required to file under rule 15c212b1.
To fill out under rule 15c212b1, individuals or entities must provide information about the securities being sold, the relationship to the issuer, and the proposed method of sale.
The purpose of rule 15c212b1 is to ensure that sales of restricted or control securities comply with the requirements of Securities Act Rule 144.
Information such as the type of securities being sold, the relationship to the issuer, and details of the proposed sale must be reported under rule 15c212b1.
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