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 |
|---|---|---|---|---|
| 34-94975 | May 24, 2022 | SR-DTC-2022-004 | The Depository Trust Company (DTC) | Notice of Filing of a Proposed Rule Change To Require Applicants and Members To Maintain or Upgrade Their Network or Communications Technology Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 Submit a Comment on SR-DTC-2022-004 |
| 34-94726 | Apr 14, 2022 | SR-DTC-2022-003 | The Depository Trust Company (DTC) | Notice of Filing of and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Service Guide and the Operational Arrangements Comments Due: May 11, 2022 View Received Comments See Also - Exhibit 5 Submit a Comment on SR-DTC-2022-003
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| 34-94692 | Apr 12, 2022 | SR-DTC-2022-002 | 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: May 9, 2022 See Also - Exhibit 5 Submit a Comment on SR-DTC-2022-002 |
| 34-94538 | Mar 29, 2022 | SR-DTC-2021-014 | The Depository Trust Company (DTC) | Notice of Withdrawal 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 |
| 34-94495 | Mar 23, 2022 | SR-DTC-2021-017 | The Depository Trust Company (DTC) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: April 20, 2022 Rebuttal comments due: May 4, 2022 View Received Comments |
| 34-94273 | Feb 17, 2022 | SR-DTC-2022-001 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Model Risk Management Framework Comments Due: 21 days after publication in the Federal Register View Received Comments |
| 34-94167 | Feb 7, 2022 | SR-DTC-2021-014 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on 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: 21 days after publication in the Federal Register |
| 34-94067 | Jan 26, 2022 | SR-DTC-2021-017 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: January 19, 2022 |
| 34-93885 | Dec 30, 2021 | SR-DTC-2021-018 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide Comments Due: January 26, 2022 See Also - Exhibit 5 |
| 34-93854 | Dec 22, 2021 | SR-DTC-2021-017 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: January 19, 2022 See Also - Exhibit 5 |