The Depository Trust Company (DTC) Rulemaking
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Self-Regulatory Organization Rulemaking Table
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File Number
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SRO Organization
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Details
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|---|---|---|---|---|
| Release Number:34-90372 | SEC Issue Date:Nov 6, 2020 | File Number:SR-DTC-2020-011 | SRO Organization:The Depository Trust Company (DTC) |
Details: Order Approving a Proposed Rule Change To Amend Rule 4 |
| Release Number:34-90203 | SEC Issue Date:Oct 15, 2020 | File Number:SR-DTC-2020-012 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of Proposed Rule Change To Adopt a New Service Guide To Establish the ClaimConnectTM See Also - Exhibit 5 |
| Release Number:34-89952 | SEC Issue Date:Sep 22, 2020 | File Number:SR-DTC-2020-011 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of Proposed Rule Change To Amend Rule 4 See Also - Exhibit 5 |
| Release Number:34-89361 | SEC Issue Date:Jul 21, 2020 | File Number:SR-DTC-2020-010 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Policy on Capital Requirements See Also - Exhibit 5 |
| Release Number:34-89269 | SEC Issue Date:Jul 9, 2020 | File Number:SR-DTC-2020-009 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Risk Management Framework See Also - Exhibit 5 |
| Release Number:34-88911 | SEC Issue Date:May 20, 2020 | File Number:SR-NSCC-2020-008, SR-FICC-2020-004, SR-DTC-2020-008 | SRO Organization:National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) |
Details: Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework |
| Release Number:34-88639 | SEC Issue Date:Apr 15, 2020 | File Number:SR-DTC-2020-008 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework See Also - Exhibit 5 |
| Release Number:34-88513 | SEC Issue Date:Mar 30, 2020 | File Number:SR-DTC-2020-007 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy See Also - Exhibit 5 |
| Release Number:34-88467 | SEC Issue Date:Mar 25, 2020 | File Number:SR-DTC-2020-006 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 |
| 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 |