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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

FICC-2018-006
FICC - MBS
Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes.
Federal Release:
Release No. 34-84236; File No. SR-FICC-2018-006
(September 20, 2018)

FICC-2018-004
FICC - GOV, FICC - MBS
Update the Government Securities Division Rulebook and the Mortgage-Backed Securities Division Clearing Rules to introduce a floor to the calculation of the fails charges and make other changes
Federal Release:
Release No. 34-83457; File No. SR-FICC-2018-004
(June 18, 2018)

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

By-Laws, Rules and Procedures

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Subject Description Type Date

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

Service Guide: Distributions
The contents of all Service Guides constitute "Procedures" of The Depository Trust Company ("DTC") as defined in the Rules of DTC.
PDF
Jun 28, 2018

FICC - Government Securities Division CME Cross-Margining Agreement (as incorporated in the rules)
FICC is registered with and regulated by the U.S. Securities and Exchange Commission (SEC).
PDF
Mar 23, 2016