The Depository Trust Company (DTC) Rulemaking
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-87879 | Jan 2, 2020 | SR-DTC-2019-009 | The Depository Trust Company (DTC) | Order Approving a Proposed Rule Change To Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions |
| 34-87756 | Dec 16, 2019 | SR-DTC-2019-012 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Timeframe for a Rule Change To Implement a New Algorithm for Transactions Processed in the Night Cycle See Also - Exhibit 5 |
| 34-87729 | Dec 12, 2019 | SR-DTC-2019-011 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Guide and the Fee Guide Relating to Tax Events See Also - Exhibit 3, Exhibit 5 |
| 34-87698 | Dec 9, 2019 | SR-DTC-2019-008 | The Depository Trust Company (DTC) | Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program |
| 34-87526 | Nov 13, 2019 | SR-DTC-2019-009 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions See Also - Exhibit 5 |
| 34-87474 | Nov 6, 2019 | SR-DTC-2019-010 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change in Connection With Changes to the Account Structure of Euroclear Bank at The Depository Trust Company See Also - Exhibit 5 |
| 34-87393 | Oct 24, 2019 | SR-DTC-2019-008 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program See Also - Exhibit 3, Exhibit 5 |
| 34-87022 | Sep 19, 2019 | SR-DTC-2019-005 | The Depository Trust Company (DTC) | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Settlement Guide To Implement a New Algorithm for Transactions Processed in the Night Cycle View Received Comments |
| 34-86897 | Sep 6, 2019 | SR-DTC-2019-007 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Deposits Service Guide Relating to Procedures for the Deposit of Nontransferable Securities See Also - Exhibit 5 |
| 34-86692 | Aug 16, 2019 | SR-DTC-2019-006 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Service Guide See Also - Exhibit 5 |