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Important Notices

View All
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

Feb 20

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