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 |
|---|---|---|---|---|
| 34-89361 | Jul 21, 2020 | SR-DTC-2020-010 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Policy on Capital Requirements See Also - Exhibit 5 |
| 34-89269 | Jul 9, 2020 | SR-DTC-2020-009 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Risk Management Framework See Also - Exhibit 5 |
| 34-88911 | May 20, 2020 | SR-NSCC-2020-008, SR-FICC-2020-004, SR-DTC-2020-008 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework |
| 34-88639 | Apr 15, 2020 | SR-DTC-2020-008 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework See Also - Exhibit 5 |
| 34-88513 | Mar 30, 2020 | SR-DTC-2020-007 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy See Also - Exhibit 5 |
| 34-88467 | Mar 25, 2020 | SR-DTC-2020-006 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Operational Arrangements With Respect to Notices Submitted to DTC for Posting to LENS See Also - Exhibit 5 |
| 34-88380 | Mar 13, 2020 | SR-DTC-2020-005 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide To Add Fees Relating to the Provision of Status Information for Institutional Transactions to a Matching Utility See Also - Exhibit 3, Exhibit 5 |
| 34-88157 | Feb 11, 2020 | SR-DTC-2020-003 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Transition the Application Used for Participant Access to the Imaging Function Relating to Deposited Certificates From a Non-Web-Based Application to a Web-Based Application See Also - Exhibit 5 |
| 34-88049 | Jan 27, 2020 | SR-DTC-2020-001 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide See Also - Exhibit 5 |
| 34-88050 | Jan 27, 2020 | SR-DTC-2020-002 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Decommission the Web Inquiry Notification System and Make Other Related and Technical Changes See Also - Exhibit 5 |