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:34-87393 | SEC Issue Date:Oct 24, 2019 | File Number:SR-DTC-2019-008 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program See Also - Exhibit 3, Exhibit 5 |
| Release Number:34-87022 | SEC Issue Date:Sep 19, 2019 | File Number:SR-DTC-2019-005 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Settlement Guide To Implement a New Algorithm for Transactions Processed in the Night Cycle View Received Comments |
| Release Number:34-86897 | SEC Issue Date:Sep 6, 2019 | File Number:SR-DTC-2019-007 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Deposits Service Guide Relating to Procedures for the Deposit of Nontransferable Securities See Also - Exhibit 5 |
| Release Number:34-86692 | SEC Issue Date:Aug 16, 2019 | File Number:SR-DTC-2019-006 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Service Guide See Also - Exhibit 5 |
| Release Number:34-86589 | SEC Issue Date:Aug 7, 2019 | File Number:SR-DTC-2018-010 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility View Received Comments |
| Release Number:34-86554 | SEC Issue Date:Aug 2, 2019 | File Number:SR-DTC-2019-005 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of Proposed Rule Change To Amend the Settlement Guide To Implement a New Algorithm for Transactions Processed in the Night Cycle View Received Comments See Also - Exhibit 5 |
| Release Number:34-86255 | SEC Issue Date:Jul 1, 2019 | File Number:SR-DTC-2019-004 | 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:34-86113 | SEC Issue Date:Jun 14, 2019 | File Number:SR-DTC-2019-001 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Operational Arrangements Relating to Transfer Agent and Trustee Notices See Also - Exhibit 5 |
| Release Number:34-86099 | SEC Issue Date:Jun 13, 2019 | File Number:SR-DTC-2019-002 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Operational Arrangements and Fee Guide Relating to Structured Securities See Also - Exhibit 5 |
| Release Number:34-86037 | SEC Issue Date:Jun 5, 2019 | File Number:SR-DTC-2018-010 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility View Received Comments |