DTCC Deposit Chills and Global Locks - U.S.A.

13.11.2017

Attached are lists of Deposit Chills and Global Locks as published by Depository Trust & Clearing Corporation (DTCC).

According to definitions provided by DTCC:

  • Securities subject to a Deposit Chill are locked from any deposit activity in the Depository Trust Company (DTC).
  • For securities subject to a Global Lock, all possible chills are applied to the respective CUSIP1.

Important notes:

  • Other types of chill exist (for example, Withdrawal by Transfer, Delivery Order) but are not covered in the attached document.
  • The chill status in DTCC may change at any time; the attached information is published on a monthly basis.
  • These lists are for use in the context of compliance related issues only and do not cover custody-only issues and corporate actions issues.
  • Securities that have been subject to a Deposit Chill or Global Lock from before 2009 are not covered in the attached documents.

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1. CUSIP: Committee on Uniform Security Identification Procedures number.