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LEGAL & REGULATORY

Important Notices

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16737-22

May 20, 2022 Tax Relief – Country: NETHERLANDS
Security: NN GROUP NV CUSIP: 629334103
Record Date: 05/24/2022 Payable Date: 06/29/2022
Quick Refund CA Web Cut-Off: 07/15/2022 8:00 PM ET

16738-22

May 20, 2022 Tax Relief – Country: NETHERLANDS
Security: SIGNIFY NV CUSIP: 82670P101
Record Date: 05/20/2022 Payable Date: 06/14/2022
Quick Refund CA Web Cut-Off: 07/01/2022 8:00 PM ET

TIW766

May 20, 2022 Trade Information Warehouse Successor Event Processing for MGM Growth Properties Operating Partnership LP

SEC Rule Filings

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SR-NSCC-2022-005

May 20, 2022 NSCC Revise the Excess Capital Premium Charge

SR-FICC-2022-003

May 20, 2022 FICC - GOV, FICC - MBS Require Applicants and Members to Maintain or Upgrade Their Network or Communications Technology.

SR-DTC-2022-004

May 11, 2022 DTC Require Applicants and Members to Maintain or Upgrade Their Network or Communications Technology.

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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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)

Operational Arrangements

Jan 13, 2021 Operational Arrangements - Necessary for Securities to Become and Remain Eligible for DTC Services
Issue Eligibility

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 2021 Q4

Mar 17, 2022 Fixed Income Clearing Corporation and National Securities Clearing Corporation Quantitative Disclosures for Central Counterparties .xlsx

CPMI IOSCO Quantitative Disclosure Results 2021 Q4

Mar 17, 2022 Fixed Income Clearing Corporation and National Securities Clearing Corporation Quantitative Disclosures for Central Counterparties PDF

DTC Disclosure Framework

Dec 20, 2021 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

Financial Statements

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DTCC Financial Statements Q1 2022

May 10, 2022 Consolidated Financial Statements (Unaudited) as of March 31, 2022 and December 31, 2021 and for the three months ended March 31, 2022 and 2021. .pdf

NSCC Financial Statements Q1 2022

May 02, 2022 Financial Statements (Unaudited) as of March 31, 2022 and December 31, 2021 and for the three months ended March 31, 2022 and 2021.
.pdf

FICC Financial Statements Q1 2022

May 02, 2022 Financial Statements (Unaudited) as of March 31,2022 and December 31, 2021 and for the three months ended March 31, 2022 and 2021.
.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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