The Depository Trust Company (DTC) Rulemaking
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-88467 | Mar 25, 2020 | SR-DTC-2020-006 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Operational Arrangements With Respect to Notices Submitted to DTC for Posting to LENS See Also - Exhibit 5 |
| 34-88380 | Mar 13, 2020 | SR-DTC-2020-005 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide To Add Fees Relating to the Provision of Status Information for Institutional Transactions to a Matching Utility See Also - Exhibit 3, Exhibit 5 |
| 34-88157 | Feb 11, 2020 | SR-DTC-2020-003 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Transition the Application Used for Participant Access to the Imaging Function Relating to Deposited Certificates From a Non-Web-Based Application to a Web-Based Application See Also - Exhibit 5 |
| 34-88049 | Jan 27, 2020 | SR-DTC-2020-001 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide See Also - Exhibit 5 |
| 34-88050 | Jan 27, 2020 | SR-DTC-2020-002 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Decommission the Web Inquiry Notification System and Make Other Related and Technical Changes See Also - Exhibit 5 |
| 34-87879 | Jan 2, 2020 | SR-DTC-2019-009 | The Depository Trust Company (DTC) | Order Approving a Proposed Rule Change To Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions |
| 34-87756 | Dec 16, 2019 | SR-DTC-2019-012 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Timeframe for a Rule Change To Implement a New Algorithm for Transactions Processed in the Night Cycle See Also - Exhibit 5 |
| 34-87729 | Dec 12, 2019 | SR-DTC-2019-011 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Guide and the Fee Guide Relating to Tax Events See Also - Exhibit 3, Exhibit 5 |
| 34-87698 | Dec 9, 2019 | SR-DTC-2019-008 | The Depository Trust Company (DTC) | Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program |
| 34-87526 | Nov 13, 2019 | SR-DTC-2019-009 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions See Also - Exhibit 5 |