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DTCC Data Repository (U.S.) LLC – ‘SDR’ on 7/1/16

On:  Friday, 7/1/16, at 9:20am ET   ·   As of:  4/25/16   ·   Accession #:  1655167-16-5   ·   File #:  40-00621

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

 4/25/16  DTCC Data Repository (U.S.) LLC   SDR         7/01/16   47:9.6M

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

Document/Exhibit                   Description                      Pages   Size 

 1: SDR         Application for Registration as a Security-Based    HTML     14K 
                Swap Data Repository -- primary_doc.xml                          
32: EX-99.AA SDR  Confidentiality of Data                           HTML     12K 
33: EX-99.BB SDR  Use of Data                                       HTML     13K 
34: EX-99.CC SDR  Dispute Accuracy of Data                          HTML     15K 
 7: EX-99.D SDR  Ddr Audit Committee Charter                        HTML     25K 
 6: EX-99.D SDR  Ddr Board Code of Ethics                           HTML     33K 
 4: EX-99.D SDR  Ddr Mission Statement and Bd Charter               HTML     22K 
 5: EX-99.D SDR  Ddr Principles of Governance                       HTML     22K 
 3: EX-99.D SDR  Governance Arrangements                            HTML     18K 
35: EX-99.DD SDR  Calculation of Positions                          HTML     13K 
 9: EX-99.E SDR  Dddr Articles of Org                               HTML     16K 
 8: EX-99.E SDR  Formation                                          HTML     11K 
36: EX-99.EE SDR  Sys Precautions - Mishandling of Data             HTML     14K 
10: EX-99.F SDR  Organizational Structure                           HTML     13K 
41: EX-99.GG SDR  900S Narrative                                    HTML     14K 
39: EX-99.GG SDR  Credit Matrix                                     HTML     76K 
40: EX-99.GG SDR  Equity Matrix                                     HTML    104K 
46: EX-99.GG SDR  Guide to Sbsdr Svcs                               HTML    121K 
38: EX-99.GG SDR  Narrative to Credit, Rates, Equity Matrices       HTML     20K 
42: EX-99.GG SDR  Rates Matrix                                      HTML     63K 
37: EX-99.GG SDR  Sbsdr P and P Narrative                           HTML     13K 
44: EX-99.HH SDR  Ddr Rulebook - Current                            HTML    190K 
45: EX-99.HH SDR  Ddr Rulebook - Proposed Chgs                      HTML    204K 
43: EX-99.HH SDR  General Pol and Proc Narrative                    HTML     12K 
15: EX-99.I SDR CNTRCT  Ddr Annex I - Asset Mgrs                    HTML     45K 
14: EX-99.I SDR CNTRCT  Ddr Annex I - Non Asset Mgrs                HTML     47K 
13: EX-99.I SDR CNTRCT  Ddr Repository User Agreement               HTML     16K 
17: EX-99.I SDR CNTRCT  Ddr Third Party Provider Agmt               HTML     24K 
16: EX-99.I SDR CNTRCT  Ddr Third Party Submitter Auth Supplement   HTML     17K 
18: EX-99.J SDR  Conflict of Interest Narrative                     HTML     12K 
47: EX-99.L SDR  Dtcc Financials                                    HTML    185K 
19: EX-99.M SDR  Fees                                               HTML     15K 
20: EX-99.U SDR  Contracts for Services Provided Narrative          HTML     12K 
24: EX-99.U SDR  Ddr Annex I - Asset Mgrs                           HTML     45K 
25: EX-99.U SDR  Ddr Annex I - Non Asset Mgrs                       HTML     47K 
23: EX-99.U SDR  Ddr Supplement to Non U.S. User Agreement          HTML     14K 
27: EX-99.U SDR  Ddr Third Party Provider Agreement                 HTML     24K 
26: EX-99.U SDR  Ddr Third Party Submitter Auth Supp                HTML     17K 
22: EX-99.U SDR  Ddr View Only User Agreement                       HTML     14K 
21: EX-99.U SDR  Dtcc Data Repository (U.S.) LLC Repository User    HTML     16K 
                Agreement                                                        
28: EX-99.V SDR  Access by Participants and Access to Data          HTML     14K 
29: EX-99.W SDR  Persons Who Supply Swap Info                       HTML     11K 
30: EX-99.X SDR  Reqts to Reequest Access to Sbsdr Data by 3rd      HTML     12K 
                Party                                                            
31: EX-99.Y SDR  Prohibition or Limitation of Any Person Re Access  HTML     13K 
 2: EX-99.A SDR SUMMARY  Ownership Narrative -- Exhibita.xml        HTML     12K 
11: EX-99.G SDR  Affiliates Narrative -- ExhibitG.xml               HTML     11K 
12: EX-99.I SDR SUMMARY  Material Contracts Narrative --            HTML     15K 
                ExhibitI.xml

‘SDR’   —   Application for Registration as a Security-Based Swap Data Repository — primary_doc.xml



        

This ‘SDR’ 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
 
 
XML Data rendering:  Application for Registration by a Security-Based Swap Data Repository
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<edgarSubmission xmlns="http://www.sec.gov/edgar/sdrfiler" xmlns:com="http://www.sec.gov/edgar/common">
<headerData>
<submissionType> SDR </submissionType>
<filerInfo>
<filer>
<filerCredentials>
<cik> 0001655167 </cik>
<ccc> XXXXXXXX </ccc>
</filerCredentials>
</filer>
<flags>
<returnCopyFlag> true </returnCopyFlag>
<overrideInternetFlag> false </overrideInternetFlag>
<confirmingCopyFlag> false </confirmingCopyFlag>
</flags>
<contact>
<contactName> Lisa Siebold </contactName>
<contactPhoneNumber> 212-855-3206 </contactPhoneNumber>
<contactEmailAddress> Lsiebold@dtcc.com </contactEmailAddress>
</contact>
<liveTestFlag> LIVE </liveTestFlag>
</filerInfo>
</headerData>
<formData>
<principalInfo>
<applicantName> DTCC Data Repository (U.S.) LLC </applicantName>
<street1> 55 WATER STREET </street1>
<city> NEW YORK </city>
<stateOrCountry> NY </stateOrCountry>
<zipCode> 10041 </zipCode>
<prncpalConfFlag> false </prncpalConfFlag>
</principalInfo>
<generalInfo>
<business>
<businessName>
<nameOnBusinessConfFlag> false </nameOnBusinessConfFlag>
</businessName>
<previousBusinessName>
<previousBusinessNameConfFlag> false </previousBusinessNameConfFlag>
</previousBusinessName>
<businessAddress>
<street1> 55 WATER STREET </street1>
<city> NEW YORK </city>
<stateOrCountry> NY </stateOrCountry>
<zipCode> 10041 </zipCode>
<businessAddressConfFlag> false </businessAddressConfFlag>
</businessAddress>
</business>
<officeInfo>
<office>
<officeName> New York Office </officeName>
<street1> 55 Water Street </street1>
<city> New York </city>
<stateOrCountry> NY </stateOrCountry>
<zipCode> 10041 </zipCode>
</office>
<officeConfFlag> false </officeConfFlag>
</officeInfo>
<successor>
<successionDateFlag> false </successionDateFlag>
<predecessorNameAddressFlag> false </predecessorNameAddressFlag>
<predecessorCikFlag> false </predecessorCikFlag>
<successorConfFlag> false </successorConfFlag>
<successionFlag> true </successionFlag>
</successor>
<assetClasses>
<assetClassesList> Credit, Equity and Rates </assetClassesList>
<assetClassesConfFlag> false </assetClassesConfFlag>
</assetClasses>
<functionDescription>
<functionDescriptionPerformed> Security based swap data repository and security information processor functions. </functionDescriptionPerformed>
<functionDescriptionConfFlag> false </functionDescriptionConfFlag>
</functionDescription>
<applicantCategory>
<applicantType> Other Form of Organization </applicantType>
<applicantTypeOtherDesc> Limited Liability Company </applicantTypeOtherDesc>
<applcntTypeConfFlag> false </applcntTypeConfFlag>
</applicantCategory>
<corpOrgInfo>
<dateOfCoperationOrg> 10-12-2011 </dateOfCoperationOrg>
<stateCorperationOrOrg> NY </stateCorperationOrOrg>
<corprtnOrgConfFlag> false </corprtnOrgConfFlag>
</corpOrgInfo>
<partnershipInfo>
<filingPrtnrConfFlag> false </filingPrtnrConfFlag>
</partnershipInfo>
<consentName>
<personNameOrOfficerTitle> DTCC General Counsel </personNameOrOfficerTitle>
<applicantNameOrApplcblEntity> DTCC Data Repository (U.S.) LLC </applicantNameOrApplcblEntity>
<consentNameConfFlag> false </consentNameConfFlag>
</consentName>
<consentAddress>
<street1> 55 Water Street </street1>
<city> New York </city>
<stateCountry> NY </stateCountry>
<zipCode> 10041 </zipCode>
<consentAddressConfFlag> false </consentAddressConfFlag>
</consentAddress>
<consentPhone>
<phone> 212-855-3240 </phone>
<consentPhoneConfFlag> false </consentPhoneConfFlag>
</consentPhone>
</generalInfo>
<signatureInfo>
<signatureDate> 04-25-2016 </signatureDate>
<signatureApplicantName> DTCC Data Repository (U.S.) LLC </signatureApplicantName>
<signature> Marisol Collazo </signature>
<signatureTitle> Chief Executive Officer </signatureTitle>
<signatureConfflag> false </signatureConfflag>
</signatureInfo>
</formData>
</edgarSubmission>


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Filing Submission 0001655167-16-000005   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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