DTCC - Financial Planning Consultant
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LEGAL & REGULATORY

Important Notices

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Doc # Date Subsidiary Category Subject
  • 13509-20
  • Jun 04, 2020
  • DTC
  • Dividends
  • Important Tax Information Granite REIT
    CUSIP: 387437114
    Record Date: 05/29/2020
    Payable Date: 06/15/2020
  • 13511-20
  • Jun 04, 2020
  • DTC
  • Dividends, International
  • Tax Relief – Country: FINLAND
    SAMPO CUSIP: 79588J102
    Record Date: 06/04/2020 Payable Date: 06/26/2020
    Relief at Source CA Web Cut-Off: 06/05/2020 8:00 PM ET
    Quick Refund CA Web Cut-Off: 07/29/2020 8:00 PM ET
    ONE DAY RAS CA WEB CUT-OFF
  • MBS856-20
  • Jun 04, 2020
  • FICC - MBS
  • Membership Updates
  • CF SECURED, LLC [CSIN] - Intent to Retire

SEC Rule Filings

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SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice

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)

Issue Eligibility

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Subject Description Type Date

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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Subject Description Type Date
  • NSCC Disclosure Framework
  • 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.
  • PDF
  • Mar 26, 2020
  • FICC Disclosure Framework
  • 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.
  • PDF
  • Mar 26, 2020
  • DTC Disclosure Framework
  • 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.
  • PDF
  • Mar 26, 2020

Financial Statements

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Subject Description Type Date
  • DTCC Financial Statements Q1 2020
  • Consolidated Financial Statements
    as of March 31, 2020 and December 31, 2019 and for the three
    months ended March 31, 2020 and 2019
  • .pdf
  • May 14, 2020
  • NSCC Financial Statements Q1 2020
  • Financial Statements as of March 31, 2020 and December 31, 2019 and for the three months ended March 31, 2020 and 2019
  • .pdf
  • May 01, 2020
  • FICC Financial Statements Q1 2020
  • Financial Statements as of March 31, 2020 and December 31, 2019 and for the three months ended March 31, 2020 and 2019
  • .pdf
  • May 01, 2020
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