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  2. Depository Trust & Clearing Corporation - Wikipedia

    en.wikipedia.org/wiki/Depository_Trust_&_Clearing...

    DTCC was established in 1999 as a holding company to combine The Depository Trust Company (DTC) and National Securities Clearing Corporation (NSCC).. In 2008, The Clearing Corporation (CCorp) and The Depository Trust & Clearing Corporation announced CCorp members will benefit from CCorp's netting and risk management processes, and will leverage the asset servicing capabilities of DTCC's Trade ...

  3. Depository Trust Company - Wikipedia

    en.wikipedia.org/wiki/Depository_Trust_Company

    Established in 1973, The Depository Trust Company (DTC) was created to alleviate the rising volumes of paperwork and the lack of security that developed after rapid growth in the volume of transactions in the U.S. securities industry in the late 1960s. [17] DTC was formed under the special incorporation laws of New York for trust companies.

  4. Securities market participants (United States) - Wikipedia

    en.wikipedia.org/wiki/Securities_market...

    Electronic ticker monitor display, showing the bid and offer status of securities. Securities market participants in the United States include corporations and governments issuing securities, persons and corporations buying and selling a security, the broker-dealers and exchanges which facilitate such trading, banks which safe keep assets, and regulators who monitor the markets' activities.

  5. Street name securities - Wikipedia

    en.wikipedia.org/wiki/Street_name_securities

    In the US, Cede & Co., a nominee of Depository Trust Company, is typically the largest stockholder of a company. [ 1 ] [ page needed ] In the US where Cede & Co. is the street name holder, therefore, all beneficial rights such as voting rights and dividends flow first to the nominee holder Cede, and then are passed onward, and ultimately to the ...

  6. Cede and Company - Wikipedia

    en.wikipedia.org/wiki/Cede_and_Company

    Cede and Company (also known as Cede and Co. or Cede & Co.) is a specialist United States financial institution that processes transfers of stock certificates on behalf of Depository Trust Company, the central securities depository used by the United States National Market System, which includes the New York Stock Exchange, and Nasdaq. [1]

  7. Direct holding system - Wikipedia

    en.wikipedia.org/wiki/Direct_holding_system

    The Direct Registration System (DRS) A direct holding system is an arrangement for registering ownership of securities (or similar interests) whereby every final investor in the security is registered with a single entity (for example, the issuer itself, a CSD, or a registry).

  8. Broker-dealer - Wikipedia

    en.wikipedia.org/wiki/Broker-dealer

    Although broker-dealers often provide investment advice to their clients, in many situations they are exempt from registration under the U.S. Investment Advisers Act of 1940, so long as (i) the investment advice is "solely incidental" to brokerage activities; and (ii) the broker-dealer receives no "special compensation" for providing the ...

  9. Stock transfer agent - Wikipedia

    en.wikipedia.org/wiki/Stock_transfer_agent

    A stock transfer agent, transfer agent, share registry or transfer agency is an entity, usually a third-party firm unrelated to security transactions, that manages the change in ownership of company stock or investment fund shares, maintains a register of ownership and acts as paying agent for the payment of dividends and other distributions to investors.