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 |
|---|---|---|---|---|
| 34-86037 | Jun 5, 2019 | SR-DTC-2018-010 | The Depository Trust Company (DTC) | 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 |
| 34-85986 | May 31, 2019 | SR-DTC-2019-003 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide See Also - Exhibit 5 |
| 34-85288 | Mar 11, 2019 | SR-DTC-2018-010 | The Depository Trust Company (DTC) | Order Instituting 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 |
| 34-84954 | Dec 26, 2018 | SR-DTC-2018-010 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility View Received Comments |
| 34-84949 | Dec 21, 2018 | SR-NSCC-2018-013, SR-FICC-2018-014, SR-DTC-2018-012 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Revise the Clearing Agency Investment Policy |
| 34-84894 | Dec 20, 2018 | SR-DTC-2018-013 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Service Guide for the Canadian-Link Service See Also - Exhibit 5 |
| 34-84768 | Dec 10, 2018 | SR-DTC-2018-011 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Guide to the DTC Fee Schedule See Also - Exhibit 5 |
| 34-84751 | Dec 7, 2018 | SR-DTC-2018-010 | The Depository Trust Company (DTC) | Notice of Filing of a Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions To a Matching Utility View Received Comments See Also - Exhibit 5 |
| 34-84458 | Oct 19, 2018 | SR-NSCC-2018-009, SR-FICC-2018-010, SR-DTC-2018-009 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Amend the Clearing Agency Frameworks |
| 34-84426 | Oct 15, 2018 | SR-DTC-2018-008 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan |