By-Laws, Rules and Procedures

The Depository Trust Company ("DTC")

DTC is registered with and regulated by the U.S. Securities and Exchange Commission

DTC Rules, By-Laws and Organization Certificate

DTC is a limited-purpose trust company organized under the New York Banking Law, and is a member of the Federal Reserve System

DTC Fee Guide And Fine Schedule

DTC Procedures

DTC Other

  • Outside Counsel Legal Memorandum: Uncleared Swap Margin Rules: Custodial Risk and the Enforceability of Rights with Respect to Securities Posted as Initial Margin at The Depository Trust Company — Available to DTC Participants and Pledgees. Please contact abandler@dtcc.com to obtain a copy.

Fixed Income Clearing Corporation ("FICC")

FICC is registered with and regulated by the U.S. Securities and Exchange Commission

FICC Restated Certificate Of Incorporation And By-Laws

FICC Government Securities Division ("GSD") Rulebook and Other

FICC Mortgage-Backed Securities Division ("MBSD") Clearing Rules and Other

  • MBSD Clearing Rules
  • MBSD EPN Rules
  • Outside Counsel Legal Opinion: Enforceability of the Termination and Netting Provisions of Rules 17A and 17 and the Loss Allocation Rules of Rule 4 Upon the Occurrence of a Corporation Default — Available to MBSD Clearing Members. Please contact dtemple@dtcc.com or npoulos@dtcc.com to obtain a copy.
  • Outside Counsel Legal Opinion: Capped Contingency Liquidity Facility (CCLF) — Available to MBSD Clearing Members. Please contact dtemple@dtcc.com or npoulos@dtcc.com to obtain a copy.

National Securities Clearing Corporation ("NSCC")

NSCC is registered with and regulated by the U.S. Securities and Exchange Commission

NSCC Certificate Of Incorporation And By-Laws

NSCC Rules & Procedures











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