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Legal & Regulatory

Important Notices

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a9620

Jul 18, 2025 CHANGES IN THE LIST OF PARTICIPANTS

TIW830

Jul 18, 2025 Trade Information Warehouse Rename Event Processing for NIPPON TELEGRAPH AND TELEPHONE CORPORATION

22616-25

Jul 17, 2025 Direct Registration System (DRS) Transformation – DRS CCF Batch File Retirement/ API Adoption/ New MQ Channel – Target Go-Live New Date

Regulatory Rule Filings

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SR-NSCC-2025-011

Jul 16, 2025 NSCC Concerning Enhancements to the Automated Customer Account Transfer Service

SR-DTC-2025-011

Jul 11, 2025 DTC Amend the DTC Settlement Service Guide Relating to Wire Instructions

SR-NSCC-2025-010

Jun 27, 2025 NSCC Amend the NSCC Rules to Decommission CNS Functionality Related to Level 2 Exemptions and Fully-Paid-For Accounts

By-Laws, Rules and Procedures

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DTC, FICC and NSCC are registered as clearing agencies with, and regulated by, the U.S. Securities and Exchange Commission.


To view the rules and procedures that govern each clearing agency's operations, including information on default procedures or insolvency, please click here: By-Laws, Rules and Procedures


(Click here to view: Guides to Fee Schedules)

Risk Management

 
GSD Schedule of MLA Charge Asset Groups and Subgroups
Asset groups/subgroups used in calculation of the MLA Charge at GSD
FICC - GSD
October 30, 2023
MBSD Schedule of MLA Charge Asset Groups and Subgroups
Asset groups/subgroups used in calculation of the MLA Charge at MBSD
FICC - MBS
October 30, 2023
GSD Schedule of Haircuts and Concentration Limits for Eligible Clearing Fund Securities
Haircuts and concentration limits applied to Eligible Clearing Fund Securities pledged to secure the Clearing Fund deposits at GSD
FICC - GSD
April 17, 2025
MBSD Schedule of Haircuts and Concentration Limits for Eligible Clearing Fund Securities
Haircuts and concentration limits applied to Eligible Clearing Fund Securities pledged to secure the Clearing Fund deposits at MBSD
FICC - MBS
April 17, 2025
NSCC Schedule of Haircuts and Concentration Limits for Eligible Clearing Fund Securities
Haircuts and concentration limits applied to Eligible Clearing Fund Securities pledged to secure the Clearing Fund deposits at NSCC
NSCC
April 17, 2025

Issue Eligibility

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Operational Arrangements

Apr 10, 2025 Operational Arrangements - Necessary for Securities to Become and Remain Eligible for DTC Services
Issue Eligibility

MMI Blanket Issuer Letter of Representations (BLOR)

Jan 31, 2025 This letter sets forth our understanding with respect to certain matters relating to the issuance by the Issuer from time to time of Money Market Instrument securities (the "Securities"). Eligibility Documentation (PDF)

MMI IPA Resignation Letter

Jan 23, 2025 The resignation letter is used by IPAs who are removing themselves as Issuing & Paying agent for an active MMI Program. Special Letters (PDF)

Compliance

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Compliance provides oversight and supports DTCC business areas and subsidiaries globally in establishing internal controls to identify, escalate, and manage regulatory compliance risk and facilitate ongoing compliance with laws and regulations.  DTCC holds itself to the highest ethical standards and complies with all applicable laws and regulations in the jurisdictions where it conducts business globally.

This section of DTCC’s website provides useful compliance information for DTCC’s Clients as well as its Service Providers, Partners, and Third Parties.  Outside parties can view DTCC’s Code of Conduct as well as additional information pertaining to Compliance at DTCC. DTCC’s Clients can access information pertaining to Anti-Money Laundering, OFAC Certifications, KYC Requirements and Fines & Waivers information here. DTCC’s Service Providers, Partners and Third Parties can view the Company Profile, Ownership Statement and learn about our regulators here.

Policy and Compliance

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CPMI IOSCO Quantitative Disclosure Results 2025 Q1

May 27, 2025 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties .xlsx

CPMI IOSCO Quantitative Disclosure Results 2025 Q1

May 27, 2025 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties .pdf

FICC Disclosure Framework - 2025 Q1

Mar 31, 2025 ​The Disclosure Frameworks explain how DTCC's "Systemically Important Financial Market Utilities" (SIFMUs) reflect the SEC's Covered Clearing Agency Rules and the CPMI-IOSCO FMI Principles.


FICC Disclosure Framework - 2025 Q1 Marked PDF

Financial Statements

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DTCC Financial Statements Q1 2025

May 02, 2025 Consolidated Financial Statements (Unaudited) as of March 31, 2025 and December 31, 2024 and for the three months ended March 31, 2025 and 2024 .pdf

FICC Financial Statements Q1 2025

Apr 30, 2025 Financial Statements (Unaudited) as of March 31, 2025 and December 31, 2024 and for the three months ended March 31, 2025 and 2024 .pdf

NSCC Financial Statements Q1 2025

Apr 30, 2025 Financial Statements (Unaudited) as of March 31, 2025 and December 31, 2024 and for the three months ended March 31, 2025 and 2024 .pdf

FSB Questionnaire: Continuity of Access to FMI's

The following documents contain the responses of The Depository Trust Company (DTC), National Securities Clearing Corporation (NSCC), and The Fixed Income Clearing Corporation (FICC), (collectively the DTCC Clearing Agencies), to the questionnaire published by The Financial Stability Board (FSB). The questionnaire is entitled, FSB Continuity of Access to FMIs for Firms in Resolution, and is intended to streamline the collection of information to support resolution planning. The responses provided by the DTCC Clearing Agencies are intended to assist members and resolution authorities in their resolution planning. Please note that members of multiple DTCC Clearing Agencies should refer to the questionnaire for each applicable clearing agency, as responses may differ based upon the services provided and rules and procedures covering the clearing agency.

 
Continuity of Access to DTC
DTC’s Responses to FSB Questionnaire on the Continuity of Access to FMIs for Firms in Resolution
DTC
March 1, 2023
Continuity of Access to FICC
FICC’s Responses to FSB Questionnaire on the Continuity of Access to FMIs for Firms in Resolution
FICC
March 1, 2023
Continuity of Access to NSCC
NSCC’s Responses to FSB Questionnaire on the Continuity of Access to FMIs for Firms in Resolution
NSCC
March 10, 2023
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