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 |
|---|---|---|---|---|
| 34-101083 | Sep 18, 2024 | SR-DTC-2024-003 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Clearing Agency Risk Management Framework Submit a Comment on SR-DTC-2024-003
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| 34-100842 | Aug 27, 2024 | SR-DTC-2024-009 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change to Adopt the Clearing Agency Framework for Certain Requirements on Governance and Conflicts of Interest Comments Due: September 24, 2024 See Also - Exhibit 3, Exhibit 5 |
| 34-100838 | Aug 27, 2024 | SR-DTC-2024-007 | The Depository Trust Company (DTC) | Notice of Withdrawal of a Proposed Rule Change to Modify the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) Comments Due: August 28, 2024 |
| 34-100813 | Aug 23, 2024 | SR-DTC-2024-008 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) Comments Due: September 19, 2024 See Also - Exhibit 5 |
| 34-100637 | Aug 1, 2024 | SR-DTC-2024-007 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) Comments Due: August 28, 2024 View Received Comments See Also - Exhibit 5 |
| 34-100581 | Jul 23, 2024 | SR-DTC-2024-006 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the DTC Corporate Actions Distributions Service Guide Comments Due: August 19, 2024 See Also - Exhibit 5 |
| 34-100532 | Jul 15, 2024 | SR-DTC-2024-005 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Guide to the DTC Fee Schedule Comments Due: August 9, 2024 See Also - Exhibit 5 |
| 34-100400 | Jun 21, 2024 | SR-DTC-2024-003, SR-FICC-2024-006, SR-NSCC-2024-003 | The Depository Trust Company (DTC), Fixed Income Clearing Corporation (FICC), National Securities Clearing Corporation | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Clearing Agency Risk Management Framework Comments Due: 21 days after publication in the Federal Register. Rebuttal Comments should be submitted 35 days after date of publication in the Federal Register. |
| 34-100076 | May 8, 2024 | SR-DTC-2024-003 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Clearing Agency Risk Management Framework |
| 34-99911 | Apr 5, 2024 | SR-DTC-2024-004 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the Deposits Service Guide and the Operational Arrangements Comments Due: May 2, 2024 View Received Comments See Also - Exhibit 5 |