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 |
|---|---|---|---|---|
| 34-95729 | Sep 9, 2022 | SR-DTC-2022-006 | The Depository Trust Company (DTC) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Submit a Comment on SR-DTC-2022-006 |
| 34-95615 | Aug 26, 2022 | SR-DTC-2021-017 | The Depository Trust Company (DTC) | Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: January 19, 2022 Submit a Comment on SR-DTC-2021-017
|
| 34-95282 | Jul 14, 2022 | SR-DTC-2022-006 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework |
| 34-95231 | Jul 8, 2022 | SR-DTC-2022-008 | The Depository Trust Company (DTC) | Notice of Filing of Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Distributions Guide To Enhance the Tax Event Announcements Feature of the Distributions Service and Make Related Clarifying Changes Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 2, Exhibit 3, Exhibit 5 |
| 34-95232 | Jul 8, 2022 | SR-DTC-2022-004 | The Depository Trust Company (DTC) | Order Approving a Proposed Rule Change To Require Applicants, Participants, and Pledgees To Maintain or Upgrade Their Network or Communications Technology |
| 34-95197 | Jul 5, 2022 | SR-DTC-2022-007 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |
| 34-95143 | Jun 23, 2022 | SR-DTC-2021-017 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: January 19, 2022 |
| 34-95080 | Jun 9, 2022 | SR-DTC-2022-006 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework Comments Due: 21 days after publication in the Federal Register View Received Comments See Also - Exhibit 3, Exhibit 5a and 5b Submit a Comment on SR-DTC-2022-006 |
| 34-95017 | Jun 1, 2022 | SR-DTC-2022-005 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Certain Fees Charged to Applicants Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |
| 34-95012 | May 31, 2022 | SR-DTC-2022-002 | The Depository Trust Company (DTC) | Order Approving the Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation |