Legal & Regulatory
Important Notices
Recent Important Notices for each DTCC subsidiary addressing issues such as changes in the list of participants, operations, and schedules, are listed below. (Issued when relevant across all subsidiaries, DTCC Important Notices are also listed.)
To view all current Important Notices of a type or for a specific subsidiary, select the category below or use navigation, left. RSS Newsfeeds in the Subscription Center provide an easy, comprehensive way to subscribe to Important Notices and other information about DTCC in real-time.
DTC, FICC and NSCC are registered as clearing agencies with the U.S. Securities and Exchange Commission ("SEC"). To view the rules and procedures that govern each subsidiary's operations, including information on default procedures or insolvency, please see Rules and Procedures.
National Securities Clearing Corporation (NSCC) | View NSCC service offerings
| Doc # | Date | Subject | |
|---|---|---|---|
 OTC-099 |
May 23, 2013 | UPDATES TO THE LIST OF OTC CLEARED SECURITIES ... | |
| a7638 |
May 22, 2013 | RULE FILING (SR-NSCC-2013-07) - TECHNICAL CORRECTIONS T... | |
| OTC-098 |
May 22, 2013 | UPDATES TO THE LIST OF OTC CLEARED SECURITIES... | |
| a7637 |
May 21, 2013 | New York State Stock Transfer Tax Rebate Program... | |
| View More: | |||
Fixed Income Clearing Corporation (FICC) | View FICC service offerings
| Doc # | Date | Subject | |
|---|---|---|---|
| MBS088.13 |
May 23, 2013 | RBS Securities Inc. [RBSI] - Activation ... | |
| MBS087.13 |
May 23, 2013 | JP Morgan Clearing Corp. [JSML, JSWF & JSLG] - Activati... | |
| MBS086.13 |
May 23, 2013 | EPN and Pool Netting Eligibility Update... | |
| MBS085.13 |
May 23, 2013 | JP Morgan Clearing Corp. [JSKP] - Intent to Retire... | |
| View More: | |||
The Depository Trust Company (DTC) | View DTC service offerings
| Doc # | Date | Subject | |
|---|---|---|---|
| 0833-13 |
May 23, 2013 | *****Revised ***** Tax Relief - Country: Ireland Securi... | |
| 0863-13 |
May 23, 2013 | Tax Relief - Country: Japan GCB JAPAN BK INTERN F D06/1... | |
| 0862-13 |
May 23, 2013 | TaxRelief - Country: France Michelin CUSIP: 59410T106 R... | |
| 0854-13 |
May 23, 2013 | Rights Offering: Prospect Global Resources Inc. CUSIP... | |
| View More: | |||
The Depository Trust & Clearing Corporation (DTCC) | View service offerings by line of business
| Doc # | Date | Subject | |
|---|---|---|---|
| z0028 |
September 30, 2011 | Systemic Risk White Paper Available... | |
| Z0027 |
August 28, 2011 | DTCC REMAINS OPEN FOR OPERATION ON AUGUST 29... | |
| Z0026 |
November 19, 2010 | Customer Guidelines for Equipment Relocation / Router D... | |
| Z0025 |
March 10, 2010 | Informational Update on DTC and NSCC Securities Restric... | |
| View More: | |||
DTCC Deriv/SERV | View DTCC Deriv/SERV service offerings
| Doc # | Date | Subject | |
|---|---|---|---|
| tiw296 |
May 21, 2013 | Revised: Trade Information Warehouse Restructuring Even... | |
| tiw295 |
May 17, 2013 | Trade Information Warehouse Restructuring Event Process... | |
| tiw294 |
May 15, 2013 | Trade Information Warehouse Rename Event Processing for... | |
| tiw293 |
May 15, 2013 | Trade Information Warehouse Rename Event Processing for... | |
| View More: | |||