The Depository Trust Company (DTC-AN) Rulemaking
We encourage the public to submit comments on the following filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-98227 | Aug 25, 2023 | SR-DTC-2023-801 | The Depository Trust Company (DTC-AN) | Notice of Filing of Advance Notice to Raise Prefunded Liquidity Resources Through the Periodic Issuance and Private Placement of Senior Notes Comments Due: September 21, 2023 View Received Comments See Also - Exhibit 3 Submit a Comment on SR-DTC-2023-801
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| 34-90368 | Nov 6, 2020 | SR-DTC-2020-801 | The Depository Trust Company (DTC-AN) | Notice of No Objection To Advance Notice To Amend Rule 4 |
| 34-90169 | Oct 14, 2020 | SR-DTC-2020-801 | The Depository Trust Company (DTC-AN) | Notice of Filing of an Advance Notice to Amend Rule 4 See Also - Exhibit 5 |
| 34-83953 | Aug 27, 2018 | SR-DTC-2017-803 | The Depository Trust Company (DTC-AN) | Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, to Adopt a Recovery & Wind-down Plan and Related Rules View Received Comments |
| 34-83950 | Aug 27, 2018 | SR-DTC-2017-804 | The Depository Trust Company (DTC-AN) | Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, to Amend the Loss Allocation Rules and Make Other Changes View Received Comments |
| 34-83743 | Jul 31, 2018 | SR-DTC-2017-803 | The Depository Trust Company (DTC-AN) | Notice of Filing of Amendment No. 1 to an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules View Received Comments See Also - Exhibit 4, Exhibit 5a, Exhibit 5b, Commission's Request for Additional Information, Response to the Commission's Request for Additional Information |
| 34-83746 | Jul 31, 2018 | SR-DTC-2017-804 | The Depository Trust Company (DTC-AN) | Notice of Filing of Amendment No. 1 to an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes View Received Comments See Also - Exhibit 4, Exhibit 5, Commission's Request for Additional Information, Commission's Request for Additional Information |
| 34-82582 | Jan 24, 2018 | SR-DTC-2017-804 | The Depository Trust Company (DTC-AN) | Notice of Filing and Extension of the Review Period of an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes View Received Comments See Also - Exhibit 5, Commission's Request for Additional Information, Commission's Request for Additional Information |
| 34-82579 | Jan 24, 2018 | SR-DTC-2017-803 | The Depository Trust Company (DTC-AN) | Notice of Filing and Extension of the Review Period of an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules View Received Comments See Also - Exhibit 5a, Exhibit 5b, Commission's Request for Additional Information, Response to the Commission's Request for Additional Information |
| 34-80731 | May 19, 2017 | SR-NSCC-2017-801, SR-FICC-2017-804, SR-DTC-2017-801 | National Securities Clearing Corporation (NSCC-AN), Fixed Income Clearing Corporation (FICC-AN), The Depository Trust Company (DTC-AN) | Notice of No Objection to Advance Notices to Enhance the Credit Risk Rating Matrix and Make Other Changes See Also - Rel. No. 34-80394, Release No. 34-80395, Rel. No. 34-80396 |