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LEGAL & REGULATORY

Important Notices

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GOV1549-23

Oct 04, 2023 New Sponsored Member

19115-23

Oct 04, 2023 Depositary Fees Notification
Security: Vallourec
CUSIP#: 92023R407
JPMorgan Chase Bank, N.A.

19117-23

Oct 04, 2023 Depositary Fees Notification
Security: Relief Therapeutics Holding SA
CUSIP#: 7595JP304
JPMorgan Chase Bank, N.A.

SEC Rule Filings

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SR-DTC-2023-010

Sep 27, 2023 DTC Modify the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services)

SR-FICC-2023-014

Sep 22, 2023 FICC - GOV, FICC - MBS Relating to the GSD and MBSD Schedules of Haircuts for Eligible Clearing Fund Securities

SR-NSCC-2023-009

Sep 22, 2023 NSCC Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities

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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Operational Arrangements

Sep 27, 2023 Operational Arrangements - Necessary for Securities to Become and Remain Eligible for DTC Services
Issue Eligibility

Letter of Securities Possession (LOP)

Apr 06, 2021 The LOP is used, when due to extraordinary circumstances, the Lead Underwriter of a Non-FAST new issue has advised DTC that it will not be able to deliver the physical certificates to DTC in compliance to the requirements described in DTC’s Operational Arrangements (OA). Note: Please read the letter in its entirety before completing and submitting to DTC. Special Letters (PDF)

Municipal Tax-Exempt Commercial Paper

Nov 14, 2019 Book-Entry-Only Municipal Tax-Exempt Commercial Paper (TECP) (Master Note) Program MMI Letters of Representations (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 2023 Q2

Aug 30, 2023 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties .pdf

CPMI IOSCO Quantitative Disclosure Results 2023 Q2

Aug 30, 2023 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties .xlsx

DTC Disclosure Framework - 2023 Q2

Jun 30, 2023 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.


DTC Disclosure Framework - 2023 Q2 Marked
PDF

Financial Statements

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DTCC Financial Statements Q2 2023

Aug 08, 2023 Consolidated Financial Statements (Unaudited) as of June 30,
2023 and December 31, 2022 and for the three and six months ended
June 30, 2023 and 2022 .pdf

DTC Financial Statements Q2 2023

Jul 28, 2023 Financial Statements (Unaudited) as of June 30, 2023 and December 31, 2022 and for the three months and six months ended June 30, 2023 and 2022 .pdf

FICC Financial Statements Q2 2023

Jul 28, 2023 Financial Statements (Unaudited) as of June 30, 2023 and December 31, 2022 and for the three and six months ended June 30, 2023 and 2022 .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.

 
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