Legal & Regulatory | DTCC Financial Statements, Policy & Compliance
Skip to main content

Legal & Regulatory

Important Notices

View All
23393-26

Jun 03, 2026 Tax Relief Country: Canada
Security: Brookfield Property Partners L.P.
CUSIP: G16249149, G16249156, G16249164, G1624R107
Record Date: 06/01/2026
Payable Date: 06/30/2026
EDS Cutoff Date: 06/23/2026 8:00 PM ET

GOV2170-26

Jun 03, 2026 Delete Sponsored Member

TIW856

Jun 03, 2026 Trade Information Warehouse Rename Event Processing for Carnival Corporation

Regulatory Rule Filings

View All
SR-NSCC-2026-008

May 26, 2026 NSCC Enhance NSCC’s Clearing Fund Methodology

SR-DTC-2026-007

May 11, 2026 DTC Amend the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services)

SR-DTC-2026-006

May 05, 2026 DTC Align the Notice Period for Missed Transfer Adjustments in the Reorganizations Service Guide

By-Laws, Rules and Procedures

View All

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
DTC SCHEDULE OF HAIRCUTS FOR ELIGIBLE COLLATERAL SECURITIES
Haircuts applied to eligible collateral securities posted to collateralize settlement obligations at DTC
DTC
July 28, 2025

Issue Eligibility

View All
Operational Arrangements

Mar 31, 2026 Operational Arrangements - Necessary for Securities to Become and Remain Eligible for DTC Services
Issue Eligibility

Corporate Commercial Paper - Master Note

Jan 20, 2026 Corporate Commercial Paper - Master Note MMI Master Note Forms (PDF)

eCD Change Indemnification Letter

Oct 20, 2025 The eCD Indemnification Letter is used when features on an eCD certificate need to be amended post issuance. Special Letters (PDF)

Compliance

View All
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

View All
CPMI IOSCO Quantitative Disclosure Results 2026 Q1

May 28, 2026 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties .xlsx

CPMI IOSCO Quantitative Disclosure Results 2026 Q1

May 28, 2026 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties .pdf

CPMI IOSCO Quantitative Disclosure Results 2025 Q4

Mar 09, 2026 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties .xlsx

Financial Statements

View All
DTCC Financial Statements Q1 2026

May 12, 2026 Consolidated Financial Statements (Unaudited) as of March 31,
2026 and December 31, 2025 and for the three months ended
March 31, 2026 and 2025 .pdf

FICC Financial Statements Q1 2026

Apr 30, 2026 Financial Statements (Unaudited) as of March 31, 2026 and
December 31, 2025 and for the three months ended
March 31, 2026 and 2025 .pdf

NSCC Financial Statements Q1 2026

Apr 30, 2026 Financial Statements (Unaudited) as of March 31, 2026 and
December 31, 2025 and for the three months ended
March 31, 2026 and 2025 .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
September 1, 2025
Continuity of Access to FICC
FICC’s Responses to FSB Questionnaire on the Continuity of Access to FMIs for Firms in Resolution
FICC
September 1, 2025
Continuity of Access to NSCC
NSCC’s Responses to FSB Questionnaire on the Continuity of Access to FMIs for Firms in Resolution
NSCC
September 1, 2025
back to top
dtccdotcom