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 |
|---|---|---|---|---|
| 34-83667 | Jul 18, 2018 | SR-DTC-2018-006 | The Depository Trust Company (DTC) | 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 |
| 34-83629 | Jul 13, 2018 | SR-DTC-2017-022 | The Depository Trust Company (DTC) | 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 |
| 34-83628 | Jul 13, 2018 | SR-DTC-2017-021 | The Depository Trust Company (DTC) | 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 |
| 34-83544 | Jun 28, 2018 | SR-DTC-2018-002 | The Depository Trust Company (DTC) | 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 |
| 34-83509 | Jun 25, 2018 | SR-NSCC-2017-017, SR-FICC-2017-021, SR-DTC-2017-021 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Recovery & Wind-Down Plan and Related Rules View Received Comments |
| 34-83510 | Jun 25, 2018 | SR-NSCC-2017-018, SR-FICC-2017-022, SR-DTC-2017-022 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | 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 |
| 34-83511 | Jun 25, 2018 | SR-DTC-2018-005 | The Depository Trust Company (DTC) | 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 |
| 34-83058 | Apr 17, 2018 | SR-DTC-2018-003 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Redemptions Service Guide and the DTC Reorganizations Service Guide To Add Clarifying Text Relating to the Processing of MMI Securities See Also - Exhibit 5 |
| 34-82912 | Mar 20, 2018 | SR-DTC-2017-021 | The Depository Trust Company (DTC) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules View Received Comments |
| 34-82914 | Mar 20, 2018 | SR-DTC-2017-022 | The Depository Trust Company (DTC) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes View Received Comments |