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 |
|---|---|---|---|---|
| 34-91635 | Apr 22, 2021 | SR-DTC-2021-006 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the Security Holder Tracking Service Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 Submit a Comment on SR-DTC-2021-006
|
| 34-91587 | Apr 16, 2021 | SR-NSCC-2021-003, SR-FICC-2021-001, SR-DTC-2021-002 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Approving Proposed Rule Changes To Revise the Clearing Agency Investment Policy Comments Due: April 6, 2021 View Received Comments |
| 34-91429 | Mar 29, 2021 | SR-DTC-2021-004 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Recovery & Wind-Down Plan Comments Due: April 23, 2021 View Received Comments See Also - Exhibit 5 |
| 34-91336 | Mar 16, 2021 | SR-DTC-2021-003 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the Requirement for Participants To Submit Monthly Position Confirmations and Clarify Participant Obligation To Reconcile Activity on a Regular Basis Comments Due: April 12, 2021 View Received Comments See Also - Exhibit 5 |
| 34-91291 | Mar 10, 2021 | SR-DTC-2021-002 | The Depository Trust Company (DTC) | Notice of Filing of a Proposed Rule Change To Revise the Clearing Agency Investment Policy Comments Due: April 6, 2021 View Received Comments |
| 34-91098 | Feb 10, 2021 | SR-DTC-2021-001 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add New Fees for DTC's Money Market Instrument Program Comments Due: March 10, 2021 See Also - Exhibit 5 |
| 34-91063 | Feb 4, 2021 | SR-DTC-2020-019 | The Depository Trust Company (DTC) | Order Approving a Proposed Rule Change To Update the Distributions Service Guide Comments Due: January 19, 2021 |
| 34-90895 | Jan 11, 2021 | SR-DTC-2020-017 | The Depository Trust Company (DTC) | Order Approving a Proposed Rule Change To Allow for the Deposit of Electronic Certificates of Deposit and Technical Changes Comments Due: December 28, 2020 |
| 34-90805 | Dec 28, 2020 | SR-DTC-2020-020 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Fee for the New ClaimConnectTM See Also - Exhibit 5 |
| 34-90747 | Dec 21, 2020 | SR-DTC-2020-019 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Update the Distributions Service Guide See Also - Exhibit 5 |