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.
Self-Regulatory Organization Rulemaking Table
File Number
|
SRO Organization
|
Details
|
||
---|---|---|---|---|
Release Number:34-90415 | SEC Issue Date:Nov 13, 2020 | File Number:SR-DTC-2020-013 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide See Also - Exhibit 5 |
Release Number:34-90372 | SEC Issue Date:Nov 6, 2020 | File Number:SR-DTC-2020-011 | SRO Organization:The Depository Trust Company (DTC) |
Details: Order Approving a Proposed Rule Change To Amend Rule 4 |
Release Number:34-90203 | SEC Issue Date:Oct 15, 2020 | File Number:SR-DTC-2020-012 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of Proposed Rule Change To Adopt a New Service Guide To Establish the ClaimConnectTM See Also - Exhibit 5 |
Release Number:34-89952 | SEC Issue Date:Sep 22, 2020 | File Number:SR-DTC-2020-011 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of Proposed Rule Change To Amend Rule 4 See Also - Exhibit 5 |
Release Number:34-89361 | SEC Issue Date:Jul 21, 2020 | File Number:SR-DTC-2020-010 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Policy on Capital Requirements See Also - Exhibit 5 |
Release Number:34-89269 | SEC Issue Date:Jul 9, 2020 | File Number:SR-DTC-2020-009 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Risk Management Framework See Also - Exhibit 5 |
Release Number:34-88911 | SEC Issue Date:May 20, 2020 | File Number:SR-NSCC-2020-008, SR-FICC-2020-004, SR-DTC-2020-008 | SRO Organization:National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) |
Details: Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework |
Release Number:34-88639 | SEC Issue Date:Apr 15, 2020 | File Number:SR-DTC-2020-008 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework See Also - Exhibit 5 |
Release Number:34-88513 | SEC Issue Date:Mar 30, 2020 | File Number:SR-DTC-2020-007 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy See Also - Exhibit 5 |
Release Number:34-88467 | SEC Issue Date:Mar 25, 2020 | File Number:SR-DTC-2020-006 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 |