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 |
|---|---|---|---|---|
| 34-99264 | Jan 2, 2024 | SR-DTC-2023-014 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the DTC Fee Schedule to revise certain fees charged to Participants for (i) Participants Fund Maintenance; (ii) Underwriting Services; (iii) Asset Services; and (iv) Settlement Serv Comments Due: January 29, 2024 See Also - Exhibit 3, Exhibit 5 Submit a Comment on SR-DTC-2023-014
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| 34-99234 | Dec 22, 2023 | SR-DTC-2023-013 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change to Modify the DTC Settlement Service Guide Comments Due: January 18, 2024 See Also - Exhibit 5 |
| 34-99108 | Dec 7, 2023 | SR-DTC-2023-012 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Risk Management Framework Comments Due: January 3, 2024 See Also - Exhibit 5 |
| 34-98812 | Oct 27, 2023 | SR-DTC-2023-011 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Clearing Agency Operational Risk Management Framework Comments Due: November 24, 2023 View Received Comments See Also - Exhibit 5 |
| 34-98604 | Sep 28, 2023 | SR-DTC-2023-010 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) Comments Due: November 2, 2023 View Received Comments See Also - Exhibit 5 |
| 34-98490 | Sep 22, 2023 | SR-DTC-2023-009 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule to Amend the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) Comments Due: October 19, 2023 See Also - Exhibit 5 |
| 34-98330 | Sep 8, 2023 | SR-DTC-2023-008 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Recovery and Wind-down Plan Comments Due: October 5, 2023 See Also - Exhibit 5 |
| 34-97948 | Jul 19, 2023 | SR-DTC-2023-007 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Distributions Guide, Redemptions Guide, Reorganizations Guide, and Operational Arrangements, Relating to the Compensation Claims Process Comments Due: August 15, 2023 See Also - Exhibit 5 |
| 34-97891 | Jul 13, 2023 | SR-DTC-2023-006 | 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, 2023 See Also - Exhibit 5 |
| 34-97595 | May 25, 2023 | SR-DTC-2023-005 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Investment Policy Comments Due: June 22, 2023 View Received Comments See Also - Exhibit 5 |