DTC, FICC, NSCC Cyber Confirmation


On Jan. 11, DTC, FICC, NSCC issued cybersecurity confirmation.


  • DTC, FICC, NSCC issued Notices a9375, 19499-24, GOV1624-24, MBS1295-24.
  • Regarding cybersecurity confirmation required by members every two years.
  • Follows DTC, FICC, NSCC rule on cybersecurity program confirmation, see #66669.
  • Cybersecurity Confirmation
  • Cybersecurity confirmation affirms implementation of institution’s written cybersecurity program; designated control officer will receive an electronic form on Jan. 18, 2024.
  • Institutions will have 180 days from this date to complete the electronic form.
  • Printed confirmations or manually signed confirmation forms will not be accepted.
  • Deadline
  • The deadline for filing electronic form is July 16, 2024.
  • May 2024 FTC, NSCC Cyber Confirmation
  • On May 15, 2024, DTC, NSCC issued notice re confirmation of cybersecurity program.
  • Per rule file SR-NSCC-2019-003, cyber confirmation required at least every two years.
  • Designated control officer will receive electronic confirmation form on May 22, 2024.
  • Institutions will have 180 days from date to complete electronic form, Nov. 18, 2024.

Regulators DTC; FICC; NSCC
Entity Types B/D; Depo
Reference NSCC: Info Nt a9426, p&s8999, 5/15/2024; Info a9375, 1/11/2024; DTC: Info 19499-24, 1/11/2024; FICC: Info GOV1624-24, Info MBS1295-24, 1/11/2024;
Functions Cyber; Financial; Operations; Privacy; Reporting; Risk; Settlement; Technology
Countries United States of America
Category
State
Products Clearing; Custody; Equity; Securities
Regions Am
Rule Type Final
Rule Date 1/10/2024
Effective Date 11/18/2024
Rule Id 197451
Linked to Rule :66669
Reg. Last Update 5/15/2024
Report Section US Investment

Last substantive update on 05/19/2024