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LEGAL & REGULATORY

Important Notices

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18047-23

Feb 08, 2023 Depositary Fees Notification
Security: HANWHA SOLUTIONS CORPORATTION 144A
CUSIP: 411358302
Citibank

18053-23

Feb 08, 2023 Money Market Instrument (MMI) – HSBC BANK USA NA (MMB6)

18008-23

Feb 08, 2023 Section 3 (c) (7) restrictions for owners of the following issue: Tikehau US CLO III Ltd. / Tikehau US CLO III LLC

SEC Rule Filings

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SR-FICC-2023-002

Feb 06, 2023 FICC - GOV Modifications to the FICC Government Securities Division Rulebook

SR-DTC-2023-001

Feb 03, 2023 DTC Amend the Clearing Agency Risk Management Framework

SR-NSCC-2023-001

Jan 30, 2023 NSCC Amend the Clearing Agency Risk Management Framework

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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DTC Disclosure Framework

Dec 20, 2022 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

FICC Disclosure Framework

Dec 20, 2022 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

NSCC Disclosure Framework

Dec 20, 2022 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 Q3 2022

Nov 07, 2022 Consolidated Financial Statements (Unaudited) as of September 30, 2022 and December 31, 2021 and for the three and nine months ended September 30, 2022 and 2021 .pdf

NSCC Financial Statements Q3 2022

Oct 31, 2022 Financial Statements (Unaudited) as of September 30, 2022 and December 31, 2021 and for the three and nine months ended September 30, 2022 and 2021 .pdf

FICC Financial Statements Q3 2022

Oct 31, 2022 Financial Statements (Unaudited) as of September 30, 2022 and December 31, 2021 and for the three and nine months ended September 30, 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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