The Depository Trust Company (DTC) Rulemaking
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Self-Regulatory Organization Rulemaking Table
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File Number
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SRO Organization
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Details
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|---|---|---|---|---|
| Release Number:34-83969 | SEC Issue Date:Aug 28, 2018 | File Number:SR-DTC-2017-022 | SRO Organization:The Depository Trust Company (DTC) |
Details: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Loss Allocation Rules and Make Other Changes View Received Comments |
| Release Number:34-83940 | SEC Issue Date:Aug 24, 2018 | File Number:SR-DTC-2018-006 | SRO Organization:The Depository Trust Company (DTC) |
Details: Order Granting Approval of Proposed Rule Change To Amend Rule 35 To Provide for Designated Accounts for Use With Designated Collateral Management Service Providers |
| Release Number:34-83871 | SEC Issue Date:Aug 17, 2018 | File Number:SR-DTC-2018-007 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Process of the Reduction of Dividend or Interest Payments to a Participant on Treasury Shares or Repurchased Debt Securities View Received Comments See Also - Exhibit 5 |
| Release Number:34-83712 | SEC Issue Date:Jul 26, 2018 | File Number:SR-DTC-2018-004 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Clarifying Changes and Updates to the DTC Underwriting Service Guide See Also - Exhibit 5 |
| Release Number:34-83667 | SEC Issue Date:Jul 18, 2018 | File Number:SR-DTC-2018-006 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of Proposed Rule Change To Amend Rule 35 To Provide for Designated Accounts for Use With Designated Collateral Management Service Providers See Also - Exhibit 5 |
| Release Number:34-83629 | SEC Issue Date:Jul 13, 2018 | File Number:SR-DTC-2017-022 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes View Received Comments See Also - Exhibit 4, Exhibit 5 |
| Release Number:34-83628 | SEC Issue Date:Jul 13, 2018 | File Number:SR-DTC-2017-021 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules View Received Comments See Also - Exhibit 4, Exhibit 5a, Exhibit 5b |
| Release Number:34-83544 | SEC Issue Date:Jun 28, 2018 | File Number:SR-DTC-2018-002 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rules and Fee Schedule Relating to Participant and Pledgee Applications See Also - Exhibit 5 |
| Release Number:34-83511 | SEC Issue Date:Jun 25, 2018 | File Number:SR-DTC-2018-005 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Operational Arrangements To Add Clarifying Text Relating to the Processing of Unit Investment Trust Securities Through the DTC Investor's Voluntary Redemptions and Sales Service See Also - Exhibit 5 |
| Release Number:34-83510 | SEC Issue Date:Jun 25, 2018 | File Number:SR-NSCC-2017-018, SR-FICC-2017-022, SR-DTC-2017-022 | SRO Organization:National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) |
Details: Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Loss Allocation Rules and Make Other Changes View Received Comments |