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LEGAL & REGULATORY

Important Notices

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18545-23

Jun 08, 2023 Tax Relief Country: Ireland
Security: Medtronic PLC
CUSIP: G5960L103
Record Date: 06/23/2023
Payable Date: 07/14/2023
Relief at Source CA Web Cut-Off: 07/05/2023 8:00 P.M. E.T
Quick Refund CA Web Cut-Off: 07/24/2023 8:00 P.M. E.T

18604-23

Jun 08, 2023 Additional Account Activation: BBVA Securities Inc./BBVA SA New York Branch #3737

GOV1490-23

Jun 08, 2023 New Participant in the Netting System of the Government Securities Division of FICC: MFI Funding LLC – GSD #9277

SEC Rule Filings

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SR-FICC-2023-007

May 18, 2023 FICC - MBS Adopt Fees for a New Pair-Off Message That May Be Processed through the EPN Service

SR-NSCC-2023-005

May 17, 2023 NSCC Amend the Clearing Agency Investment Policy

SR-FICC-2023-006

May 17, 2023 FICC - MBS, FICC - GOV Amend the Clearing Agency Investment Policy

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 2023 Q1

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

CPMI IOSCO Quantitative Disclosure Results 2023 Q1

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

CPMI IOSCO Quantitative Disclosure Results 2022 Q4

Mar 02, 2023 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties .pdf

Financial Statements

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DTCC Financial Statements Q1 2023

May 05, 2023 Consolidated Financial Statements (Unaudited) as of March 31,
2023 and December 31, 2022 and for the three months ended
March 31, 2023 and 2022 .pdf

FICC Financial Statements Q1 2023

Apr 28, 2023 Financial Statements (Unaudited) as of March 31, 2023 and December 31, 2022 and for the three months ended March 31, 2023 and 2022 .pdf

DTC Financial Statements Q1 2023

Apr 28, 2023 Financial Statements (Unaudited) as March 31, 2023 and December 31, 2022 and for the three months ended March 31, 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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