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 |
|---|---|---|---|---|
| 34-92342 | Jul 7, 2021 | SR-DTC-2021-011 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes Comments Due: August 3, 2021 View Received Comments See Also - Exhibit 5 Submit a Comment on SR-DTC-2021-011
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| 34-92249 | Jun 24, 2021 | SR-DTC-2021-005 | The Depository Trust Company (DTC) | Notice of Filing of and Immediate Effectiveness of Proposed Rule Change To Modify the DTC Settlement Service Guide and the Form of DTC Pledgee's Agreement Comments Due: July 21, 2021 View Received Comments See Also - Exhibit 5 |
| 34-92198 | Jun 16, 2021 | SR-DTC-2021-009 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Enhanced Clarity for Deadlines and Processing Times Comments Due: July 14, 2021 View Received Comments See Also - Exhibit 5 |
| 34-92125 | Jun 8, 2021 | SR-DTC-2021-008 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Guide To Accommodate Participants' Tax Reporting and Withholding Obligations Comments Due: July 6, 2021 See Also - Exhibit 5 |
| 34-91736 | Apr 30, 2021 | SR-DTC-2021-007 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the DTC Corporate Actions Distributions Service Guide Comments Due: May 27, 2021 See Also - Exhibit 5 |
| 34-91635 | Apr 22, 2021 | SR-DTC-2021-006 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the Security Holder Tracking Service Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |
| 34-91587 | Apr 16, 2021 | SR-NSCC-2021-003, SR-FICC-2021-001, SR-DTC-2021-002 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Approving Proposed Rule Changes To Revise the Clearing Agency Investment Policy Comments Due: April 6, 2021 View Received Comments |
| 34-91429 | Mar 29, 2021 | SR-DTC-2021-004 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Recovery & Wind-Down Plan Comments Due: April 23, 2021 View Received Comments See Also - Exhibit 5 |
| 34-91336 | Mar 16, 2021 | SR-DTC-2021-003 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the Requirement for Participants To Submit Monthly Position Confirmations and Clarify Participant Obligation To Reconcile Activity on a Regular Basis Comments Due: April 12, 2021 View Received Comments See Also - Exhibit 5 |
| 34-91291 | Mar 10, 2021 | SR-DTC-2021-002 | The Depository Trust Company (DTC) | Notice of Filing of a Proposed Rule Change To Revise the Clearing Agency Investment Policy Comments Due: April 6, 2021 View Received Comments |