The Depository Trust Company (DTC) 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 |
|---|---|---|---|---|
| 34-97009 | Mar 1, 2023 | SR-DTC-2023-002 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Operational Arrangements Comments Due: March 28, 2023 View Received Comments See Also - Exhibit 3, Exhibit 5 Submit a Comment on SR-DTC-2023-002
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| 34-96799 | Feb 3, 2023 | SR-DTC-2023-001 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework Comments Due: March 2, 2023 View Received Comments See Also - Exhibit 5 |
| 34-96586 | Dec 27, 2022 | SR-DTC-2022-014 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Guide Comments Due: January 24, 2023 See Also - Exhibit 3, Exhibit 5 |
| 34-96543 | Dec 20, 2022 | SR-DTC-2022-013 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide Comments Due: January 17, 2023 See Also - Exhibit 5 |
| 34-96555 | Dec 20, 2022 | SR-NSCC-2022-013, SR-FICC-2022-008, SR-DTC-2022-011 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Granting Proposed Rule Changes To Amend Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes |
| 34-96427 | Dec 1, 2022 | SR-DTC-2022-012 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Distributions Guide Comments Due: December 28, 2022 See Also - Exhibit 3, Exhibit 5 |
| 34-96345 | Nov 17, 2022 | SR-NSCC-2022-006, SR-FICC-2022-004, SR-DTC-2022-006 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Granting Proposed Rule Changes To Amend the Stress Testing Framework and Liquidity Risk Management Framework |
| 34-96211 | Nov 2, 2022 | SR-DTC-2022-011 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes Comments Due: November 29, 2022 See Also - Exhibit 3, Exhibit 5 Submit a Comment on SR-DTC-2022-011 |
| 34-96060 | Oct 13, 2022 | SR-DTC-2022-010 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Procedures Set Forth in the Custody Guide and the Underwriting Guide Including the Policy Statement on the Eligibility of Foreign Securities Comments Due: November 9, 2022 See Also - Exhibit 5 |
| 34-95837 | Sep 20, 2022 | SR-DTC-2022-009 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Clarifications to the DTC Rules Concerning the Admission of Participants to DTC's Premises and DTC's Authority To Impose Fines Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |