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 |
|---|---|---|---|---|
| 34-93669 | Nov 24, 2021 | SR-DTC-2021-016 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Revisions and Clarifications to the Rules Comments Due: December 21, 2021 See Also - Exhibit 5 Submit a Comment on SR-DTC-2021-016
|
| 34-93533 | Nov 5, 2021 | SR-DTC-2021-014 | The Depository Trust Company (DTC) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation Comments Due: December 3, 2021 Rebuttal comments due: December 17, 2021 |
| 34-93442 | Oct 28, 2021 | SR-DTC-2021-015 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend DTC's Procedures and Make Clarifying Changes to the DTC Rules Comments Due: November 24, 2021 See Also - Exhibit 5 |
| 34-93279 | Oct 8, 2021 | SR-DTC-2021-011 | The Depository Trust Company (DTC) | Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes Comments Due: August 3, 2021 View Received Comments |
| 34-92861 | Sep 2, 2021 | SR-DTC-2021-014 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation Comments Due: 21 days after publication in the Federal Register |
| 34-92748 | Aug 25, 2021 | SR-DTC-2021-011 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes Comments Due: August 3, 2021 View Received Comments |
| 34-92572 | Aug 5, 2021 | SR-DTC-2021-014 | The Depository Trust Company (DTC) | Notice of Filing of a Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |
| 34-92410 | Jul 14, 2021 | SR-DTC-2021-012 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consisting of Modifications to the Text of the Rules and the Procedures, of the Service Guide for the DTC Canadian-Link Service and the DTC Operational Arrangements Relating to the Elimination of the Canadian Dollar Settlement Feature of the Canadian-Link Service Comments Due: August 10, 2021 See Also - Exhibit 5 |
| 34-92379 | Jul 13, 2021 | SR-DTC-2021-013 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Model Risk Management Framework Comments Due: August 9, 2021 See Also - Exhibit 5 |
| 34-92339 | Jul 7, 2021 | SR-DTC-2021-010 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Service Guide Comments Due: August 3, 2021 View Received Comments See Also - Exhibit 5 |