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LEGAL & REGULATORY

Important Notices

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16007-21

Oct 20, 2021 Postponement of Addition to CCF File of Allocation Code Identifier aka “Shareholder ID” to DTC’s Voluntary Offering Instructions/Agent’s Tender Offers Recap Report (ATO)

16008-21

Oct 20, 2021 Depositary Fees Notification
Security: Adagene
CUSIP#: 005329107
JPMorgan Chase Bank, N.A.

GOV1174-21

Oct 20, 2021 New Sponsored Member

SEC Rule Filings

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DTC-2021-015

Oct 18, 2021 DTC

Amend DTC's Procedures and Make Clarifying to the DTC Rules

DDR Amendment #2 - 2021

Sep 07, 2021 DerivSERV

DDR Rule Certification in conjunction with amendments to DDR Rulebook.

FICC-2021-007

Aug 13, 2021 FICC - GOV

Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes

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 Q2

Sep 29, 2021 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties. .xlsx

CPMI OSCO Quantitative Disclosure Results 2021 Q2

Sep 29, 2021 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties. .pdf

CPMI IOSCO Quantitative Disclosure Results 2021 Q1 1

Jun 18, 2021 Fixed Income Clearing Corporation and National Securities Clearing Corporation Public Quantitative Disclosures for Central Counterparties. .xlsx

Financial Statements

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DTCC Financial Statements Q2 2021

Aug 05, 2021 Consolidated Financial Statements as of June 30, 2021 and December 31, 2020 and for the three and six months ended June 30, 2021 and 2020 .pdf

NSCC Financial Statements Q2 2021

Jul 30, 2021 Financial Statements (Unaudited) as of June 30, 2021 and December 31, 2020 and for the three and six months ended June 30, 2021 and 2020 .pdf

FICC Financial Statements Q2 2021

Jul 30, 2021 Financial Statements (Unaudited) as of June 30, 2021 and December 31, 2020 and for the three and six months ended June 30, 2021 and 2020 .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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