Dtc Questions & Answers

Front 1

How are you doing today?

Back 1

I am doing just fine, operating in the private capacity of the DTC.

Front 2

What is your name?

Back 2

What is not my name. My name is John Henry of the Doe Family (or) "My name is John Henry Doe". (or) "What is not my name, however my name is: John Henry of the family Doe. How are you today?

Front 3

Who are you?

Back 3

I am a child of the Most High operating in a capacity of a living man.

Front 4

Who do you represent?

Back 4

Im an ambassador for the Son of the Most High.

Front 5

Where are you?

Back 5

I am everywhere as the Principle (or) As Principle I am where I am (or) As Principle, I am where the Most High wants me to be.

Front 6

What role does the underwriter play as in regards to the principal?

Back 6

The Surety.

Front 7

What gives you the right to sign as an Authorized Representative?

Back 7

Because I am the Surety for the Principal.

Front 8

What are your motives?

Back 8

My motive is to be a good steward of the currency and not an owner. I want only to manage the currency.

Front 9

ARE YOU A BANKER?

Back 9

Yes, I am a banker as defined in the NY UCC Article 4-105, as evidence by my Charter [Birth/Bond]" Certificate.

Front 10

What is your intention as a bank?

Back 10

To conduct Commercial business for the betterment of humanity worldwide.

Front 11

What is your job?

Back 11

In addition to being a good steward I'm to remember Job 32:8 - But there is a spirit in man and the inspiration of the almighty giveth them understanding." (KJV) or "But truly it is the spirit in man and the breath of the Almighty that gives him understanding (enlightenment)." - Hebrew Roots Scriptures.

Front 12

Is your issue information Municipal or Corporate?

Back 12

Corporate.

Front 13

Are your certificated instruments eligible for resale?

Back 13

Yes.

Front 14

Under what SEC provision are your certified instruments eligible for resale?

Back 14

144a to QIB (Qualified Institutional Buyers)

Front 15

What is SEC Regulation S?

Back 15

Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933.

Front 16

Can you please explain Rule 3b and why did you check the box for Rule 144a?

Back 16

The box was checked for Rule 144A, because it provides a safe harbor from the registration requirements of the Securities Act of 1933 for certain private resales of restricted securities to QIBs (qualified institutional buyers). They generally are large institutional investors with over $100 million in investable assets. When a broker or dealer is selling securities in according to Rule 144A, the condition is not to make offers to persons other than those that are QIBs.
Rule 3b is under the Securities Act of 33 with regards to the classes of exempt securities. The Commission may from time to time by its rules and regulations, add any class of securities to the securities exempted if it finds that the enforcement of this title with respect to such securities is not necessary in the public interest and for the protection of investors.
In short the U.S. Securities and Exchange Commission (SEC) Rule 144A allows for the immediate resale of private placement securities among qualified institutional buyers (institutions that manage at least $100M in securities and are generally referred to as QIBs) without requiring public registration.
http://www.nasdaqomx.com/listingcenter/usmarket/144a/rule144a/.

Front 17

Are you stipulating that you are holding the stock? And what stock are you holding?

Back 17

Yes. Birth Certificate Instrument / SSN

Front 18

On this documentation it shows that you are the Underwriter for the account? What gave you the authority to be the Underwriter?

Back 18

I am the surety on the account, underwriting for the principal

Front 19

Also, you have listed upon this account, that you are the individual that we are supposed to look up to see what your CUSIP is, can you please tell me what CUSIP means?

Back 19

CUSIP stands for Committee on Uniform Securities Identification Procedures. CUSIP numbers are 9 characters long. The first 8 characters of the CUSIP number uniquely identify a security. The first 6 characters represent the Issuer of a security, the next two characters represent the individual issue, and the last character is a check digit.

Front 20

What is Rule 12G?

Back 20

Registration of securities by issuer; exemptions.

1. Every issuer which is engaged in interstate commerce, or in a business affecting interstate commerce, or whose securities are traded by use of the mails or any means or instrumentality of interstate commerce shall--

A. within one hundred and twenty days after the last day of its first fiscal year ended after July 1, 1964, on which the issuer has total assets exceeding $1,000,000 and a class of equity security (other than an exempted security) held of record by seven hundred and fifty or more persons; and
B. within one hundred and twenty days after the last day of its first fiscal year ended after two years from July 1, 1964, on which the issuer has total assets exceeding $1,000,000 and a class of equity security (other than an exempted security) held of record by five hundred or more but less than seven hundred and fifty persons.

Front 21

I see you sent in your application for the DTC.
The DTC is listed under what company?

Back 21

DTCC: Depository Trust Clearing Corporation.

Front 22

I noticed that on your application you are listed as the transferring agent? Is that correct?

Back 22

Yes.

Front 23

Or is it your bank, which one goes there?

Back 23

Either.

Front 24

"What goes on the check (the IBOE) the drawee will prepare?

Back 24

a.UNCITRAL RULES: (Articles 1-7, 11-13, 46 sec. 3, 47 sec. 1, 53)

b.UNICITRAL CONVENTION (as above so is below = twice printed)

c.PLACE OF THE DRAWER

d.PLACE OF THE DRAWEE

e.PAYEE

Front 25

WHAT GOES ON AN IBOE THAT THE DRAWER WILL PREPARE? WHEN YOU WRITE THE DRAFT (IBOE OR INTERNATIONAL BILL OF EXCHANGE), WHAT WILL YOU PUT ON IT?

Back 25

1) INTERNATIONAL BILL OF EXCHANGE MUST BE PRINTED ON THE INSTRUMENT TWICE, ONCE AT THE TOP AND ONCE AT THE BOTTOM OF THE INSTRUMENT AND IT MUST BE CENTERED (as above so is below = twice printed).

2)UNDER THE SIGNATURE LINE IT NEEDS TO STATE “GOOD AS AVAL” (WHICH MEANS GOOD AS GOLD).

3)IN THE UPPER RIGHT HAND CORNER YOU NEED THE FOUR DIGIT INVOICE NUMBER. ON THE LEFT HAND CORNER, A LITTLE BOX CHECKED AND THE WORD PRIVATE. THE DRAWER’S NAME AND ADDRESS, (PHONE NUMBER IS YOU CHOOSE).

4)PLACE OF THE DRAWER

5)PLACE OF THE DRAWEE

6)PAYEE

7)THE ROUTING NUMBER (THE AUTOTRIS – THE BACK SIDE OF YOU SS CARD). CUSIP INFORMATION NEXT TO ROUTING NUMBER IN RED).

Front 26

And, what rules will you use?

Back 26

The rules to follow are Uncitral Convention Articles 1-7, 11-13, 46 Subsection 3 and 47, subsection 1 and 53.

Front 27

Qualified Institutional Buyer
What is the private foundation that you choose to operate under and/or fund?

Back 27

I INTEND TO OPERATE VIA A PRIVATE INTEREST FOUNDATION, WHICH HAS YET TO BE ESTABLISHED, GEARED TOWARDS GLOBAL HUMANITARIAN EFFORTS SUCH HAITI EARTHQUAKE RELIEF. DUE DILIGENCE IS CURRENTLY BEING DONE ON INTERNATIONAL ORGANIZATIONS TO SUPPORT ONE OF THOSE ORGANIZATIONS IS AN ORPHANAGE IN HAITI CALLED GODS LITTLEST ANGELS. MY FOUNDATION IS TITLED ADONAI OASIS AND SPA. IT IS FOR THE FACILITATION OF GIVING, CURING, HELPING, AND ASSISTING THOSE IN NEED. (OR) MY FOUNDATION IS IN THE PROCESS OF BEING SET UP, IT IS NOT FULLY ESTABLISHED YET. THE NAME OF THE FOUNDATION WILL BE ADONAI OASIS AND SPA (WE WILL OFFER HEALTHY FOODS, NUTITIONALS & ALTERNATIVE BEAUTY CARE PRODUCTS, WATER PURIFICATION & FILTRATION SYSTEMS, ALTERNATIVE ENERGY SOLUTIONS & ELECTRONIC TELECOMMUNICATION SYSTEMS.

Front 28

Is it OK if we deduct 2% off of your total principal amount?

Back 28

Absolutely!! If that is your policy, please do so.

Front 29

Why did you submit your application?

Back 29

I submitted my application to make my new issue of securities DTC eligible.

Front 30

Can you tell me how many forms you submitted?

Back 30

7 documents
-5 forms and 2 attachments as outlined on the packing list.
The forms I submitted were the DTC Eligibility Questionnaire, the CUSIP Information Form, the Acceptance Wizard, the Payment Wizard, the Standard Form 28 (Affidavit of Individual Surety) the 2 attachments are: 1 Birth Certificate and 1 Social Security Card.

Front 31

ARE YOU A BANK?

Back 31

YES

Front 32

I SEE YOU SUBMITTED SEVERAL DOCUMENTS AND SEE THAT YOU ARE APPLYING AS CORPORATE, WHY DID YOU SELECT CORPORATE AS OPPOSED TO ABS OR CMO?

Back 32

BECAUSE THIS IS A CORPORATE ISSUE.

Front 33

CAN YOU PLEASE EXPLAIN TO ME RULE 144A?

Back 33

RULE 144A PROVIDES A SAFE HARBOR FROM THE REGISTRATION REQUIREMENTS OF THE SECURITIES ACT OF 1933 FOR CERTAIN PRIVATE RESALES OF RESTRICTED SECURITIES TO QUALIFIED INSTITUTIONAL BUYERS. (QIB)

Front 34

CAN YOU PLEASE ELABORATE UPON THE REGULATION S OF THE SECURITIES ACT OF 1933?

Back 34

REGULATION “S” PROVIDES A SAFE HARBOR FOR THE ISSUER AND THE RESALE OF SECURITIES REGARDING ELECTRONIC TRANSFERS ABROAD.

Front 35

WHAT ARE YOUR PLANS WITH THE FUNDS YOU ARE ABOUT TO RECEIVE?

Back 35

GLOBAL HUMANITARIAN PROJECTS PROVIDING SUSTAINABLE RELIEF.

Front 36

CAN YOU PLEASE ELABORATE ON ARTICLE 8?

Back 36

ARTICLE 8 IS AN ARTICLE OF THE UCC GOVERNING INVESTMENT SECURITIES. THE ISSUE IS A 1/10 PARTICIPATION SHARE REPRESENTED BY A SECURITIES CERTIFICATE IN REGISTERED FORM.

Front 37

CAN YOU EXPLAIN ON YOUR CUSIP INFORMATION SHEET WHY YOU SELECTED 2% IN THE INTEREST RATE COLUMN?

Back 37

TO THE BEST OF MY KNOWLEDGE THAT IS DTC’S SERVICING FEE FOR THIS TRANSACTION.

Front 38

IS IT OK IF WE DEDUCT 2% OFF OF YOUR TOTAL PRINCIPAL AMOUNT?

Back 38

ABSOLUTELY! IF THAT IS YOUR POLICY, PLEASE DO SO.

Front 39

WHY DID YOU SUBMIT YOUR APPLICATION?

Back 39

I SUBMITTED MY APPLICATION TO MAKE MY NEW ISSUE OF SECURITIES DTC ELIGIBLE.

Front 40

CAN YOU PLEASE EXPLAIN THE ISSUERS INFORMATION DEALING WITH THE CORPORATE ENTITY?

Back 40

THE ISSUERS INFORMATION FOR THE CORPORATE ENTITY IS THE BIRTH CERTIFICATE, DEALING WITH THE ISSUING OF SHARES AGAINST THAT ENTITY.

Front 41

CAN YOU TELL ME HOW MANY FORMS YOU SUBMITTED?

Back 41

7 DOCUMENTS – 5 FORMS AND 2 ATTACHMENTS AS OUTLINED ON THE PACKING LIST. THE FORMS I SUBMITTED WERE THE DTC ELIGIBILITY QUESTIONNAIRE, THE CUSIP INFORMATION FORM, THE ACCEPTANCE WIZARD, THE PAYMENT WIZARD, THE STANDARD FORM 28 (AFFIDAVIT OF INDIVIDUAL SURETY) THE 2 ATTACHMENTS ARE, 1 BIRTH CERTIFICATE, AND 1 SOCIAL SECURITY CARD.

Front 42

CAN YOU EXPLAIN TO ME WHY YOU INCLUDED A STANDARD FORM 28 IN YOUR PACKAGE?

Back 42

I SUBMITTED A STANDARD FORM 28 AS SUPPORTING DOCUMENTATION IDENTIFYING THE SURETY FOR PAYMENT ON THE BOND.

Front 43

CAN YOU PLEASE EXPLAIN TO ME HOW ARTICLE 8 DIFFERS FROM ARTICLE 9?

Back 43

AT THIS TIME I AM UNABLE, AS ARTICLE 9 WAS NOT REFERENCED ON DTC’S ELIGIBILITY QUESTIONNAIRE.

Front 44

IN THIS TRANSACTION CAN YOU PLEASE EXPLAIN TO ME WHAT A TRANSFER AGENT IS?

Back 44

THE TRANSFER AGENT IN THIS TRANSACTION IS THE BANK WHERE THE INTEREST BEARING ACCOUNT WAS HELD, THEY ARE THE AGENT RESPONSIBLE FOR THE MAINTENANCE OF RECORDS OF INVESTORS, ACCOUNT BALANCES, AND TRANSACTIONS.

Front 45

DO YOU GIVE ME PERMISSION TO CALL THE TRANSFER AGENT CONTACT ON YOUR APPLICATION?

Back 45

YES I DO.

Front 46

CAN YOU PLEASE EXPLAIN TO ME WHAT THE SELLER REFERENCE NUMBER SUBMITTED ON YOUR ACCEPTANCE WIZARD IS?

Back 46

ON THE ACCEPTANCE WIZARD IT IS THE BIRTH CERTIFICATE FILE NUMBER WHICH IS 332-1966; AND ON THE PAYMENT WIZARD IT IS THE SOCIAL SECURITY BOND NUMBER, WHICH IS F58769645.

Front 47

CAN YOU PLEASE EXPLAIN TO ME WHY YOU SUBMITTED YOUR BIRTH CERTIFICATE?

Back 47

THE BIRTH CERTIFICATE WAS SUBMITTED AS THE LETTER OF REPRESENTATION, BILL OF LADING, AND THE CERTIFICATE OF ORIGIN AS OUTLINED ON THE PACKING LIST.

Front 48

WHAT GIVES YOU THE AUTHORITY TO EXECUTE SUCH CURRENCY OFF OF YOUR BIRTH CERTIFICATE?

Back 48

UNDER ARTICLE 8 OF NYUCC, THE BIRTH CERTIFICATE IS A CERTIFICATED SECURITY IN REGISTERED FORM WHEREIN JOHN HENRY DOE IS THE ENTITLEMENT HOLDER AS EVIDENCED ON THE FACE OF THE SECURITY, THEREBY GIVING JOHN HENRY DOE THE ABILITY TO ISSUE ENTITLEMENT ORDERS REGARDING THE SAID SECURITY. UNDER ARTICLE 8 JOHN HENRY DOE IS QUALIFIED AS THE ISSUER OF THE 1/10 PARTICIPATION SHARE INTEREST IN THE BC BOND, AS EVIDENCE IN THE SOCIAL SECURITY BOND, BY THE MERE PRINTING OF THE NAME JOHN HENRY DOE ON THE SOCIAL SECURITY BOND.

Front 49

CAN YOU PLEASE EXPLAIN TO ME WHAT CUSIP STANDS FOR?

Back 49

CUSIP IS A UNIVERSALLY RECOGNIZED 9 DIGIT IDENTIFIER FOR SECURITIES AND FINANCIAL INSTRUMENTS. (COMMITTEE ON UNIFORM SECURITIES INDENTIFICATION PROCEDURES)

Front 50

WHAT ARE THE SECURITIES THAT WE WILL BE DEALING WITH AS IT RELATES TO THIS ISSUE?

Back 50

THE SOCIAL SECURITY CARD.

Front 51

CAN YOU EXPLAIN TO ME WHETHER THIS IS A FAST?

Back 51

YES THIS IS A FAST.

Front 52

WHY IS THIS TRANSACTION CONSIDERED A FAST?

Back 52

IT’S CONSIDERED A FAST BECAUSE IT IS AN ELECTRONIC TRANSACTION (WHERE IT HAPPENS INSTANTLY).

Front 53

DOES THIS ISSUE CONTAIN A PUT/TENDER FEATURE?

Back 53

YES.

Front 54

CAN YOU PLEASE TELL ME WHY IT CONTAINS A PUT/TENDER FEATURE?

Back 54

YES, IT’S A PUT/TENDER FEATURE BECAUSE THE SECURITY IS ELIGIBLE FOR RESALE UNDER RULE 144A.

Front 55

WHAT CONSTITUTES AS THE PACKING LIST?

Back 55

THE DTC ELIGIBILITY QUESTIONNAIRE, THE CUSIP INFORMATION FORM, THE ACCEPTANCE WIZARD, THE PAYMENT WIZARD, STANDARD FORM 28 (AFFIDAVIT OF INDIVIDUAL SURETY) MY BIRTH CERTIFICATE, AND THE SOCIAL SECURITY CARD.

Front 56

IF THEY TRY TO TAKE YOU OFF COURSE?

Back 56

THAT HAS NOT YET BEEN BROUGHT TO MY ATTENTION FOR QUALIFICATION NOR DID I SEE THAT QUESTION STIPULATED ON THE QUESTIONNAIRE.

Front 57

WHAT IS THE FDIC BEING USED FOR IN THIS TRANSACTION?

Back 57

250K FDIC IS THE SHARE OFFERING AMOUNT ON THE INSURANCE FOR THE BOND. IT’S A FUNGIBLE ASSET.

Front 58

WHAT DOES THE SOCIAL SECURITY CARD ACT AS?

Back 58

SSN ACTS AS A SECURITY WHICH IS AN OFFERING.

Front 59

WHAT IS THE SIGNIFICANCE OF THE 250K ON THE ISSUE PRINCIPAL/OFFERING AMOUNT ON YOUR DTC EQ?

Back 59

OFF OF EACH SSN YOUR PROSPECTUS CAME FROM THE FDIC WHICH ALLOWED EVERYONE TO OFFER UP THE 250K FOR EACH ONE OF YOUR SSN’S, IT IS MY UNDERSTANDING THAT THE 250K IS THE REQUIRED AMOUNT NECESSARY TO MAKE A NEW ISSUE OF SECURITIES DTC ELIGIBLE

Front 60

HOW DO YOU KNOW YOU ARE ABLE TO DO THIS?

Back 60

BECAUSE OF MY RESEARCH ON FIDELITY AS TO WHAT MY BOND IS BEING TRADED AT. I REALIZE THAT FOR MY LIFE TIME YOU HAVE BEEN TRADING MY BOND ON THE MARKET CONTINUOUSLY AND FRACTIONALIZING IT DOWN 10 TIMES, WHICH IS WHY THE SOCIAL SECURITY ADMINISTRATION WILL ONLY ISSUE 10 CARDS PER INDIVIDUAL PER LIFE TIME.

Front 61

ARE YOU A CORPORATION?

Back 61

THE ISSUER IS A CORPORATION AND I AM THE AUTHORIZED SIGNATORY THEREOF. PLEASE…

Front 62

ARE YOU A BANK?

Back 62

YES, I AM EMPOWERED IN THE COMMERCIAL LOANS, TO RECEIVE DEPOSITS, MAKE LOANS, AND ISSUE PROMISSORY NOTES.

Front 63

WHAT WOULD YOU LIKE TO BE CALLED?

Back 63

FOR THE PURPOSE OF THIS TRANSACTION, JOHN HENRY DOE.

Front 64

WHEN WOULD YOU LIKE YOUR FUNDS?

Back 64

WITHIN THE NEXT 48 HOURS IF POSSIBLE.

Front 65

YOU INDICATED THAT THE ISSUE IS A UNITED KINGDOM ENTITY, WHY IS THAT?

Back 65

IT IS MY BELIEF THAT THE ISSUE IS A UK ENTITY.

Front 66

WHAT GOES ON AN IBOE THAT THE DRAWER WILL PREPARE?

Back 66

a.UNCITRAL RULES: (Articles 1-7, 11-13, 46 sec. 3, 47 sec. 1, 53)

b.UNICITRAL CONVENTION (as above so is below = twice printed)

c.PLACE OF THE DRAWER

d.PLACE OF THE DRAWEE

e.PAYEE

Front 67

HOW DID YOU HEAR ABOUT US?

Back 67

I WAS PERUSING THE INTERNET AND CAME ACROSS THE DTC THROUGH THE DTCC WEBSITE, AND IT APPEARED YOU OFFERED THE SERVICES I WAS LOOKING FOR.

Front 68

What is CUSIP?

Back 68

COMMITTEE ON UNIFORM SECURITIES IDENTIFICATION PROCEDURES, IT IS THE UNIQUE NINE-DIGIT IDENTIFIER FOR SECURITIES.

Front 69

WHAT IS THE FOUNDATION YOU CHOOSE TO OPERATE BY?

Back 69

I INTEND TO OPERATE VIA A PRIVATE INTEREST FOUNDATION, WHICH HAS YET TO BE ESTABLISHED, GEARED TOWARDS GLOBAL HUMANITARIAN EFFORTS.