Standardized Delivery Instruction Slips strengthen transfer controls through serial numbering, electronic validation and mandatory scanning to protect investors. Delivery Instruction Slip issuance and processing are standardized to strengthen transfer controls by mandating pre-printed serial numbers, DP ID and BO ID, unique serial numbering within each DP, prohibiting mixed-use slips and multiple execution-date use, requiring immediate electronic reporting of DIS issuance, validation of serial numbers at execution to prevent used or unissued DIS from being processed, and mandatory next-working-day scanning with retained archived images and audit trails.
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Provisions expressly mentioned in the judgment/order text.
Standardized Delivery Instruction Slips strengthen transfer controls through serial numbering, electronic validation and mandatory scanning to protect investors.
Delivery Instruction Slip issuance and processing are standardized to strengthen transfer controls by mandating pre-printed serial numbers, DP ID and BO ID, unique serial numbering within each DP, prohibiting mixed-use slips and multiple execution-date use, requiring immediate electronic reporting of DIS issuance, validation of serial numbers at execution to prevent used or unissued DIS from being processed, and mandatory next-working-day scanning with retained archived images and audit trails.
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