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.
Self-Regulatory Organization Rulemaking Table
|
File Number
|
SRO Organization
|
Details
|
||
|---|---|---|---|---|
| Release Number:34-88380 | SEC Issue Date:Mar 13, 2020 | File Number:SR-DTC-2020-005 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 |
| Release Number:34-88157 | SEC Issue Date:Feb 11, 2020 | File Number:SR-DTC-2020-003 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 |
| Release Number:34-88050 | SEC Issue Date:Jan 27, 2020 | File Number:SR-DTC-2020-002 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 |
| Release Number:34-88049 | SEC Issue Date:Jan 27, 2020 | File Number:SR-DTC-2020-001 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide See Also - Exhibit 5 |
| Release Number:34-87879 | SEC Issue Date:Jan 2, 2020 | File Number:SR-DTC-2019-009 | SRO Organization:The Depository Trust Company (DTC) |
Details: Order Approving a Proposed Rule Change To Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions |
| Release Number:34-87756 | SEC Issue Date:Dec 16, 2019 | File Number:SR-DTC-2019-012 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 |
| Release Number:34-87729 | SEC Issue Date:Dec 12, 2019 | File Number:SR-DTC-2019-011 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 |
| Release Number:34-87698 | SEC Issue Date:Dec 9, 2019 | File Number:SR-DTC-2019-008 | SRO Organization:The Depository Trust Company (DTC) |
Details: Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program |
| Release Number:34-87526 | SEC Issue Date:Nov 13, 2019 | File Number:SR-DTC-2019-009 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 |
| Release Number:34-87474 | SEC Issue Date:Nov 6, 2019 | File Number:SR-DTC-2019-010 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change in Connection With Changes to the Account Structure of Euroclear Bank at The Depository Trust Company See Also - Exhibit 5 |