SEC Regulation S-P

SEC Regulation S-P

Last Updated: December 2025

DTCC, through its affiliates National Securities Clearing Corporation (NSCC), The Depository Trust Company (DTC), the Fixed Income Clearing Corporation (FICC), and DTCC Institutional Trade Processing (ITP) (collectively, “DTCC”), provide services to entities (“Covered Institutions”) that are subject to SEC Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Personal Information, 15 CFR part 248 (Reg S-P), in which the services provided contain “customer information” as defined under the regulation.

DTCC recognizes that Reg S-P requires Covered Institutions to establish a response program, including the establishment, maintenance, and enforcement of written policies and procedures to require oversight service providers. As a service provider to Covered Institutions under Reg S-P, the following terms demonstrate that DTCC has implemented policies and procedures reasonably designed to address such requirements.

SEC Regulation S-P (November 2025)