SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

DTCC Data Repository (U.S.) LLC – ‘SDR/A’ on 3/27/18

On:  Tuesday, 3/27/18, at 3:53pm ET   ·   Effective:  3/27/18   ·   Accession #:  1655167-18-3   ·   File #:  40-00621

Previous ‘SDR’:  ‘SDR/A’ on 4/28/17   ·   Latest ‘SDR’:  This Filing   ·   1 Reference:  By:  SEC – ‘UPLOAD’ on 3/28/18

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

  As Of                Filer                Filing    For·On·As Docs:Size

 3/27/18  DTCC Data Repository (U.S.) LLC   SDR/A       3/27/18    1:5K

Interim Amendment to Application for Registration as a Security-Based Swap Data Repository   —   Form SDR
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SDR/A       Interim Amendment to Application for Registration   HTML      6K 
                          as a Security-Based Swap Data Repository               
                          -- primary_doc.xml


        

This ‘SDR/A’ Document is an XML Data File that may be rendered in various formats:

  Form SDR    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Interim Amendment to Application for Registration by a Security-Based Swap Data Repository
 
schemaVersion:

SDR: Filer Information

Filer CIK
0001655167 
Filer CCC
XXXXXXXX 
Is this a LIVE or TEST Filing? Radio button checked LIVE Radio button not checked TEST
Is this an electronic copy of an official filing submitted in paper format in connection with a hardship exemption? Checkbox not checked
File Number
 
Would you like a Return Copy? Checkbox checked

Submission Contact Information

Name
Adrienne During 
Phone Number
212-855-3038 
E-Mail Address
aduring@dtcc.com 
Notify via Filing Website only? Checkbox not checked

SDR: Application Information

Application Information

Exact Name of Applicant as Specified in Charter:

DTCC Data Repository (U.S.) LLC 

Address of Principal Executive Offices
Address 1

55 WATER STREET 

Address 2

 

City

NEW YORK 

State/Country

NEW YORK  

Mailing Zip/ Postal Code

10041 

List all items that are amended:

withdrawal letter 

Request Confidentiality: Checkbox not checked

SDR: General Information (1-7)

General Information (1-7)

1. Name under which business is conducted, if different than name specified herein:

Name under which business is conducted, if different than name specified herein:

 

Request Confidentiality: Checkbox not checked

2. If name of business is amended, state previous business name:

If name of business is amended, state previous business name:

 

Request Confidentiality: Checkbox not checked

3. Mailing address:

Address 1

55 WATER STREET 

Address 2

 

City

NEW YORK 

State/Country

NEW YORK  

Mailing Zip/ Postal Code

10041 

Request Confidentiality: Checkbox not checked

4. List of principal office(s) and address(es) where security-based swap data repository and securities information processor activities are conducted:

Office

New York Office 

Address 1

55 Water Street 

Address 2

 

City

New York 

State/Country

NEW YORK  

Mailing Zip/ Postal Code

10041 

Request Confidentiality: Checkbox not checked

5. If the applicant is a successor (within the definition of Rule 12b-2 under the Exchange Act) to a previously registered security-based swap data repository, please complete the following:

Not Applicable: Checkbox checked
Request Confidentiality: Checkbox not checked

6. List all asset classes of security-based swaps for which the applicant is collecting and maintaining data or for which it proposes to collect and maintain data.

Credit, Equity and Rates 

Request Confidentiality: Checkbox not checked

7. Furnish a description of the function(s) that the applicant performs or proposes to perform.

Security based swap data repository and security information processor functions. 

Request Confidentiality: Checkbox not checked

SDR: General Information (8-11)

General Information (8-11)

8. Applicant Category:

Applicant is a: Radio button not checked Corporation Radio button not checked Partnership Radio button checked Other Form of Organization
Specify:

Limited Liability Company 

Request Confidentiality: Checkbox not checked

9. If the applicant is a corporation or other form of organization (besides a partnership):

a. Date of incorporation or organization:

10/12/11 

b. Place of incorporation or state/country of organization:

NEW YORK  

Request Confidentiality: Checkbox not checked

11. Applicant understands and consents that any notice or service of process, pleadings, or other documents in connection with any action or proceeding against the applicant may be effectuated by certified mail to the officer specified or person named below at the U.S. address given. Such officer or person cannot be a Commission member, official, or employee.

Name of Person or, if Applicant is a Corporation, Title of Officer:

DTCC General Counsel 

Name of Applicant or Applicable Entity:

DTCC Data Repository (U.S.) LLC 

Request Confidentiality: Checkbox not checked
Address 1

55 Water Street 

Address 2

 

City

New York 

State/Country

NEW YORK  

Mailing Zip/ Postal Code

10041 

Request Confidentiality: Checkbox not checked
Telephone Number:

212-855-3240 

Request Confidentiality: Checkbox not checked

SDR: Signature

Signature

Applicant has duly caused this application, amendment, or withdrawal to be signed on its behalf by the undersigned, hereunto duly authorized, on this date:

3/27/18 

Applicant and the undersigned hereby represent that all information contained herein is true, current, and complete. Intentional misstatements or omissions of fact constitute federal criminal violations (see 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)). It is understood that all required items and exhibits are considered integral parts of this form and that the submission of any amendment or withdrawal represents that all unamended items and exhibits remain true, current, and complete as previously filed and that the submission of any amendment (other than an annual amendment) represents that all unamended information contained in items 1 through 17, 26, and 48 remains true, current, and complete as filed. If the applicant is a non-resident security-based swap data repository, the applicant and the undersigned further represent that the applicant can, as a matter of law, and will provide the Commission with prompt access to the applicant’s books and records and that the applicant can, as a matter of law, and will submit to an onsite inspection and examination by the Commission. For purposes of this certification, “non-resident security-based swap data repository“ means (i) in the case of an individual, one who resides in or has his principal place of business in any place not in the United States; (ii) in the case of a corporation, one incorporated in or having its principal place of business in any place not in the United States; or (iii) in the case of a partnership or other unincorporated organization or association, one having its principal place of business in any place not in the United States.

Name of Applicant:

DTCC Data Repository (U.S.) LLC 

Signature of General Partner, Managing Agent or Principal Officer:

Chris Childs 

Title:

Managing Director 

Request Confidentiality: Checkbox not checked

1 Subsequent Filing that References this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/28/18  SEC                               UPLOAD3/28/18    1:37K  DTCC Data Repository (U.S.) LLC
↑Top
Filing Submission 0001655167-18-000003   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Wed., Apr. 17, 11:29:11.1pm ET