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:

Exhibits: A; A1; C; D; D2; D4; D5; D6; E; E2; F; H; I2; I3; J1; K; L1; L2; M; N; N1; O; O1; P; Q1; Q2; R; S1; U4; U5; V; X; Y; Z; Z1; AA; AA1; DD; FF; FF1; GG; GG1; GG2; GG3; GG4; GG6; GG7; HH; HH1; HH2

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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:

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

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

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3. Mailing address:

Address 1

55 WATER STREET

Address 2

City

NEW YORK

State/Country

NEW YORK

Mailing Zip/ Postal Code

10041

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

Office

New Jersey Office

Address 1

570 Washington Blvd.

Address 2

City

Jersey City

State/Country

NEW JERSEY

Mailing Zip/ Postal Code

07310

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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:

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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

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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.

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SDR: General Information (8-11)

General Information (8-11)

8. Applicant Category:

Applicant is a:

Corporation Radio button not checked

Partnership Radio button checked

Other Form of Organization

Specify:

Limited Liability Company

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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

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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

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Address 1

55 Water Street

Address 2

City

New York

State/Country

NEW YORK

Mailing Zip/ Postal Code

10041

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Telephone Number:

212-855-3240

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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:

4/28/17

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:

Katherine Delp

Title:

Executive Director

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DTCC Data Repository (U.S.) LLC – ‘SDR/A’ on 8/3/17

On: Thursday, 8/3/17, at 12:12pm ET · As of: 4/28/17 · Effective: 4/28/17 · Accession #: 1655167-17-4 · File #: 40-00621

Previous ‘SDR’: ‘SDR’ on 4/25/16 · Next & Latest: ‘SDR/A’ on 3/27/18

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

‘SDR/A’ — Interim Amendment to Application for Registration 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:

SDR: Filer Information

Submission Contact Information

SDR: Application Information

Application Information

SDR: General Information (1-7)

General Information (1-7)

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

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

3. Mailing address:

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

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:

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.

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

SDR: General Information (8-11)

General Information (8-11)

8. Applicant Category:

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

SDR: Signature

Signature

DTCC Data Repository (U.S.) LLC – ‘SDR/A’ on 8/3/17

On: Thursday, 8/3/17, at 12:12pm ET · As of: 4/28/17 · Effective: 4/28/17 · Accession #: 1655167-17-4 · File #: 40-00621

Previous ‘SDR’: ‘SDR’ on 4/25/16 · Next & Latest: ‘SDR/A’ on 3/27/18

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

‘SDR/A’ — Interim Amendment to Application for Registration 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:

SDR: Filer Information

Submission Contact Information

SDR: Application Information

Application Information

SDR: General Information (1-7)

General Information (1-7)

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

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

3. Mailing address:

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

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:

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.

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

SDR: General Information (8-11)

General Information (8-11)

8. Applicant Category:

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

SDR: Signature

Signature

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