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 |
|---|---|---|---|---|
| 34-54521 | Sep 27, 2006 | SR-DTC-2006-11 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Allow the Inventory Management System To Accept Real-Time and Late Affirmed Trades From Omgeo See Also - Rel. No. 34-54701 |
| 34-54408 | Sep 6, 2006 | SR-DTC-2006-12 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the LENS Service |
| 34-54367 | Aug 25, 2006 | SR-DTC-2006-09 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule To Revise the DTC Custody Service Guide To Incorporate the Terms of Certain Participant Agreements |
| 34-54173 | Jul 19, 2006 | SR-NSCC-2006-08, SR-DTC-2006-10, SR-FICC-2006-09 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Whereby the President of Each Clearing Agency Shall Also Serve as Its Chief Executive Officer |
| 34-54120 | Jul 10, 2006 | SR-DTC-2005-14 | The Depository Trust Company (DTC) | Order Approving a Proposed Rule Change Relating to Compliance With Regulations Administered by the Office of Foreign Assets Control View Received Comments See Also - Rel. No. 34-51721 |
| 34-53970 | Jun 12, 2006 | SR-DTC-2006-08 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Mechanism by Which It Will Collect and Pass-Through Fees Owed by Participants to American Depository Receipt Agents for Certain Issues and To Collect a Charge for This Service View Received Comments |
| 34-53810 | May 16, 2006 | SR-DTC-2006-06 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to Changes to Its SMART/Track for Buy-Ins Service |
| 34-53679 | Apr 19, 2006 | SR-DTC-2006-05 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Centralized Billing Process Relating to the Profile Modification System in DRS |
| 34-53671 | Apr 18, 2006 | SR-NSCC-2006-03, SR-DTC-2017-802 | National Securities Clearing Corporation, The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Changes To Institute a Clearing Fund Premium Based Upon a Member's Clearing Fund Requirement To Excess Regulatory Capital Ratio View Received Comments See Also - Rel. No. 34-54457 |
| 34-53655 | Apr 14, 2006 | SR-DTC-2006-03 | The Depository Trust Company (DTC) | Order Approving Proposed Rule Change to Amend the Criteria Used to Place Participants on Surveillance Status See Also - Rel. No. 34-53435 |