Swap Data Repository Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
DTCC A new fee schedule for DDR is scheduled to be effective as of July 1, 2019. 06/10/2019 Certified 06/24/2019 3
DTCC A new fee schedule for DDR is scheduled to be effective as of October 1, 2016. 09/16/2016 Certified 09/30/2016 2
DTCC A new fee schedule for DDR is scheduled to be effective on January 1, 2021 12/15/2020 Certified 12/30/2020 3
DTCC A new fee schedule for DDR is scheduled to be effective on January 1, 2024. 12/14/2023 Certified 12/29/2023 3
DTCC A new fee schedule for DDR is scheduled to be effective on July 1, 2020. 06/15/2020 Certified 06/30/2020 3
DTCC A new fee schedule for DDR is scheduled to be effective on May 1, 2022. 04/14/2022 Certified 04/27/2022 3
CMESDR Acceptance of Swap Data Submissions for the Equity Asset Class 06/14/2019 Certified 06/28/2019 1
ICE SDR Amending ICE Trade Vault, LLC Swap Data Repository Rulebook. 09/28/2012 Certified 10/10/2012 1
DTCC Amending DDR Rulebook to provide the ability of DDR to offer a Block Trade Ancillary Service. 07/16/2013 Certified 07/29/2014 3
ICE SDR Amending ICE Trade Vault Trusted Source Agreement, intended to clarify the scope of data access and to incorporate the billing of fees to a derivative clearing organization or other form of central counterparty. 06/07/2013 Withdrawn 06/26/2013 1
ICE SDR Amending ICE Trade Vault Trusted Source Agreement, to clarify the asset classes of the trade data and to clarify that ICE SDR Service Data distributed by Trusted Sources in accordance with Applicable Law is not considered proprietary or confidential. 08/21/2013 Certified 07/29/2014 1
ICE SDR Amending ICE Trade Vault, LLC Swap Data Repository Rulebook - Removing the header "Contingent EFRP" replace with "Exchange for Related Position" 05/14/2013 Certified 05/30/2013 1
ICE SDR Amending ICE Trade Vault, LLC Trusted Source Agreement, intended to clarify the scope of data access and to incorporate the billing of fees to a derivative clearing organization or other form of central counterparty. 06/21/2013 Certified 06/27/2013 1
ICE SDR Amending the Fee Schedule to address repository fees for cleared swaps and options in the commodity asset class. 06/07/2013 Certified 06/26/2013 1
DTCC Amending the Fee Schedule to extend the existing fee schedule for the period between July 1, 2013 and June 30, 2014. 06/21/2013 Certified 07/29/2014 1
DTCC Amending the Fee Schedule to extend the existing fee schedule for the period between July 1, 2013 and June 30, 2014. 06/21/2013 Certified 07/29/2014 1
BSDR Amendment to Rulebook 05/26/2015 Certified 06/09/2015 1
BSDR Amendment to Rulebook of BSDR LLC 02/22/2017 Certified 03/09/2017 1
DTCC Amendments to DDR Policies and Procedures Pursuant to Order Granting Provisional Registration as a Swap Data Repository. DDR amends certain internal DDR Policies and Procedures with respect to the identification and resolution of conflicts of interest. 12/15/2014 Certified 12/30/2014 2
DTCC Amendments to DTCC Data Repository LLC Annex I to the User Agreement 06/27/2014 Certified 07/29/2014 0
DTCC Amendments to DTCC Data Repository LLC Fee Schedule effective July 1, 2014 DTCC #2014-02 06/06/2014 Certified 07/29/2014 1
DTCC Amendments to DTCC Data Repository LLC Policies and Procedures Pursuant to Order Granting Provisional Registration as a Swap Data Repository. (letter dated December 20, 2013) Filing #2013-04 12/23/2013 Certified 07/29/2014 0
DTCC Amendments to DTCC Data Repository Rulebook and Operating Procedures. 10/25/2013 Certified 07/29/2014 1
ICE SDR Amendments to ICE Trade Vault Fee Schedule to address repository fees for cleared swaps and options in the commodity asset class. 10/17/2013 Certified 07/29/2014 1
ICE SDR Amendments to ICE Trade Vault, LLC Fee Schedule. 05/21/2013 Certified 04/21/2013 3
ICE SDR Amendments to ICE Trade Vault, LLC Fee Schedule. 12/20/2013 Certified 07/29/2014 1
ICE SDR Amendments to ICE Trade Vault, LLC Swap Data Repository Rulebook Pursuant to Section 5c(c)(1) of the Commodity Exchange Act and Commission Regulation 40.5 04/01/2013 Withdrawn 05/13/2013 1
ICE SDR Amendments to ICE Trade Vault, LLC Swap Data Repository Rulebook Pursuant to Section 5c(c)(1) of the Commodity Exchange Act and Commission Regulation 40.6 04/01/2013 Withdrawn 04/08/2013 1
ICE SDR Amendments to ICE Trade Vault, LLC Swap Data Repository Rulebook. 04/30/2013 Withdrawn 05/13/2013 1
DTCC Amendments to the DDR Rulebook Section 3.3.3.2 Exceptions and Exemptions from Mandatory Clearing Requirements under US Law to refer to the current CFTC Staff No-Action Letter 14-144 on the Treasury Affiliate End-User Exception. 02/17/2015 Certified 03/03/2015 4
DTCC Amendments to the DDR Rulebook to correct notice provisions. 02/11/2015 Certified 02/25/2015 4
ICE SDR Amendments to the Fee Schedule to address clarifications and repository fees for financial coal swaps in the commodity asset class. 01/22/2014 Certified 07/29/2014 1
ICE SDR Amendments to the ICE Trade Vault, LLC Participant Agreement to reflect the CDS asset class. Amendments are due to the merging of the CDS and commodities systems. 11/03/2015 Certified 11/18/2015 4
DTCC Amendments to the Rulebook and Operating Procedures. Letter dated January 21, 2014. 01/22/2014 Certified 07/29/2014 1
DTCC Changes made to DDR documents in connection with DDR's application for registration as a recognized or designated trade repository in the Canadian provinces of Ontario, Quebec and Manitoba. 08/13/2014 Certified 08/27/2014 8
DTCC Changes made to the DDR Rulebook in connection with DDR's application for registration as a recognized or designated trade repository in the Canadian provinces of Ontario, Quebec and Manitoba. 09/19/2014 Certified 10/03/2014 3
DTCC DDR Financial Resources Procedures updates 07/27/2021 Certified 08/10/2021 1
DTCC DDR is submitting an update to the DTCC Global Privacy Policy as a rule certification. 11/09/2018 Certified 11/26/2018 1
DTCC DDR is submitting an update to the DTCC Global Privacy Policy as a rule certification. 05/01/2018 Certified 05/15/2018 1
DTCC DDR is submitting revisions to its Privacy & Confidentiality Policy and Procedures in a manner consistent with Section 5c(c)(1) of the Commodity Exchange Act, as amended, and Commodity Futures Trading Commission Regulation 40.6. 03/15/2016 Certified 03/29/2016 1
DTCC DDR is updating its internal policies and procedures to conform with business practices and registration in new jurisdictions. 12/15/2016 Certified 12/30/2016 1
DTCC DDR P&P Rule Filing - DDR Compliance Manual 05/09/2024 Certified 05/23/2024 1
DTCC DDR Part 40.6 self-certification for the DDR Systems Development and Monitoring Procedures. 10/05/2017 Certified 10/20/2017 1
DTCC DDR Policies & Procedures Update - (1) DDR Code of Conduct; (2) DDR Compliance Manual; (3) DDR Conflict of Interest Resolution Policy; (4) DDR Systems Development & Monitoring Policy; (5) DDR Access & Onboarding Procedures - Remove 11/17/2022 Certified 12/02/2022 1
DTCC DDR Policies and Procedures update 10/15/2021 Certified 10/29/2021 1
DTCC DDR Rule Certification in conjunction with amendments to DDR Rulebook. 11/17/2022 Certified 12/02/2022 3
DTCC DDR Rule Certification in conjunction with amendments to DDR Rulebook. 09/07/2021 Certified 09/21/2021 3
DTCC DDR Rule Certification in conjunction with amendments to DDR Rulebook. 07/13/2017 Certified 07/27/2017 3
DTCC DDR Rule Certification in conjunction with amendments to DDR Rulebook. 11/06/2020 Certified 11/23/2020 3
DTCC DDR Rule Certification in conjunction with amendments to DDR Rulebook. 03/13/2017 Certified 03/27/2017 3