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Important Notices

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Doc # Date Subsidiary Category Subject
  • GOV012-15
  • Jan 15, 2015
  • FICC - GOV
  • Service Updates
  • Notice of Rule Filing Approval — SR-FICC-2014-06 — to Amend the GSD Rules on Insolvency and Ceasing to Act
  • a7962
  • Jan 03, 2015
  • NSCC
  • Clearing Services - Equities
  • EXCHANGE TRADED FUND INPUT & OUTPUT TIME FRAMES
  • OTC-001
  • Jan 02, 2015
  • NSCC
  • OTC Cleared Securities Updates
  • UPDATES TO THE LIST OF OTC CLEARED SECURITIES

SEC Rule Filings

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SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • NSCC-2017-808
  • NSCC

  • To enhance the calculation of the volatility component of the Clearing Fund formula that utilizes a parametric Value-at- Risk model and eliminate the Market Maker Domination charge


    Amendment No. 1 to SR-NSCC-2017-808

  • Federal Release:
    Release No. 34-82780; File No. SR-NSCC-2017-808
    February 26, 2018
  • NSCC-2017-807
  • NSCC
  • To increase the authorized amount under the Prefunded Liquidity Program.
  • Federal Release:
    Release No. 34–82676; File No. SR–NSCC–2017–807
    (February 15, 2018)
  • NSCC-2017-019
  • NSCC

  • Enhance the process for submitting and accepting ETF creations and redemptions.

  • Federal Release:
    Release No. 34-82544; File No. SR-NSCC-2017-019
    (January 19, 2018)

By-Laws, Rules and Procedures

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Subject Description Type Date
  • FICC - Government Securities Division Rulebook
  • FICC is registered with and regulated by the U.S. Securities and Exchange Commission (SEC).
  • PDF
  • Jul 02, 2018
  • FICC - Mortgage-Backed Securities Division Clearing Rules
  • FICC is registered with and regulated by the U.S. Securities and Exchange Commission (SEC).
  • PDF
  • Jul 02, 2018
  • Rules, By-Laws and Organization Certificate of The Depository Trust Company
  • DTC is a limited-purpose trust company organized under the New York Banking Law, and is a member of the Federal Reserve System.
  • PDF
  • Jun 29, 2018

Nov 16

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