Transfer Documents
Restricted Global Security to Regulation S Global Security or Transfer from Regulation S Global Security to Rule 144a Restricted Global Security
Transfer Documents
This website is for the sole purpose to allow brokers and/or their clients to access all BNY’s Transfer Agent exhibit documents needed to request a DWAC. A DWAC allows participants to instruct DTC regarding deposit and withdrawal transactions made directly via a FAST transfer. DTC systems should be used to confirm the minimum and/or multiple(s) allowed for transfer along with any record and/or payment dates.
The documents required for a DWAC are a signed letter of instruction and the provided issuer’s exhibit(s). At times, general exhibit forms are allowed. A letter of instruction should request a DWAC of a specific withdrawal CUSIP, quantity, participant number that will be posting the withdrawal as well as a specific deposit CUSIP, quantity and participant number that will be posting the deposit.
Please see the available Quick Guide(s) for any further processing information.
Basis of access
This webpage is not, and does not intend to be, a comprehensive database of all documents that you may need or that may be available with respect to any securities transaction. BNY Mellon does not undertake any obligation to update or amend any information or data, and may change, update or amend any information or data at any time without prior notice.
BNY Mellon provides no advice, recommendation or endorsement with respect to any company or securities. No information or data is intended to provide legal, tax, accounting, investment, financial, trading or other advice on any matter, and is not to be used as such.
It is your responsibility to select the correct form and observe any applicable distribution compliance periods. BNY Mellon accepts no responsibility for any delays or losses that occur as a result of incorrect forms being used or completed incorrectly, or sent using incorrect methods or contact details, or non-compliance with any applicable distribution compliance periods.