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DTC Rulemaking

We encourage the public to submit comments on the following The Depository Trust Company (DTC) 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.

Chronological List
Third Quarter |  Second Quarter |  First Quarter

DTC File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-DTC-2014-06
34-72576 Jul. 9, 2014 Order Approving Proposed Rule Change to Modify the Receiver Authorized Deliver and Reclaim Processing Value Limits by Transaction
See also: Notice: Rel. No. 34-72283
Second Quarter

SR-DTC-2014-08
34-72432 Jun. 19, 2014 Notice of Filing of Proposed Rule Change to Transfer the NIIDS Service to a Non-Clearing Agency Affiliate
Comments due: July 16, 2014
Additional Materials: Exhibit 5

SR-DTC-2013-11
34-72391 Jun. 13, 2014 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether the Approve or Disapprove Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends to Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities
See also: Notice: Rel. No. 34-71745, Notice: Rel. No. 34-71132

SR-DTC-2014-07
34-72308 Jun. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Implementation of a Fee for ACATS-Related Deliveries and Receives
Comments due: July 1, 2014

SR-DTC-2014-06
34-72283 May 30, 2014 Notice of Filing of Proposed Rule Change to Modify the Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
Comments due: June 26, 2014
See also: Order: Rel. No. 34-72576

SR-DTC-2014-04
34-72224 May 22, 2014 Order Approving Proposed Rule Change to Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation
See also: Notice: Rel. No. 34-71886

SR-DTC-2014-02
34-71888 Apr. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Settlement Service Guide to Clarify the Largest Provisional Net Credit Procedures
Comments due: May 2, 2014
Additional Materials: Exhibit 5

SR-DTC-2014-04
34-71886 Apr. 7, 2014 Notice of Filing of Proposed Rule Change to Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation
Comments due: May 2, 2014
Additional Materials:
 Exhibit 5
See also: Order: Rel. No. 34-72224
First Quarter

SR-DTC-2014-03
34-71828 Mar. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions
Comments due: April 24, 2014

SR-DTC-2013-11
34-71745 Mar. 19, 2014 Notice of Filing Amendment Nos. 1 and 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends to Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities
Comments due: April 15, 2014
Rebuttal comments due: April 29, 2014
See also: Notice: Rel. No. 34-72391, Notice: Rel. No. 34-71132
Comments received are available for this proposal.

SR-DTC-2014-01
34-71499 Feb. 6, 2014 Notice of Filing and Order of Accelerated Approval of Proposed Rule Change to Amend The Depository Trust Company Settlement Service Guide to Lower the Amount of the Maximum Net Debit Cap for an Affiliated Family of Participants and Make Other Related Changes
Comments due: March 5, 2014
Additional Materials:  Exhibit 5


DTC File Number List for 2014

Release No. Date Details

SR-DTC-2014-08
34-72432 Jun. 19, 2014 Notice of Filing of Proposed Rule Change to Transfer the NIIDS Service to a Non-Clearing Agency Affiliate
Comments due: July 16, 2014
Additional Materials: Exhibit 5

SR-DTC-2014-07
34-72308 Jun. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Implementation of a Fee for ACATS-Related Deliveries and Receives
Comments due: July 1, 2014

SR-DTC-2014-06
34-72576 Jul. 9, 2014 Order Approving Proposed Rule Change to Modify the Receiver Authorized Deliver and Reclaim Processing Value Limits by Transaction
34-72283 May 30, 2014 Notice of Filing of Proposed Rule Change to Modify the Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
Comments due: June 26, 2014

SR-DTC-2014-04
34-72224 May 22, 2014 Order Approving Proposed Rule Change to Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation
34-71886 Apr. 7, 2014 Notice of Filing of Proposed Rule Change to Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation
Comments due: May 2, 2014
Additional Materials:
 Exhibit 5

SR-DTC-2014-03
34-71828 Mar. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions
Comments due: April 24, 2014

SR-DTC-2014-02
34-71888 Apr. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Settlement Service Guide to Clarify the Largest Provisional Net Credit Procedures
Comments due: May 2, 2014
Additional Materials: Exhibit 5

SR-DTC-2014-01
34-71499 Feb. 6, 2014 Notice of Filing and Order of Accelerated Approval of Proposed Rule Change to Amend The Depository Trust Company Settlement Service Guide to Lower the Amount of the Maximum Net Debit Cap for an Affiliated Family of Participants and Make Other Related Changes
Comments due: March 5, 2014
Additional Materials:  Exhibit 5

 

http://www.sec.gov/rules/sro/dtc.shtml


Modified: 07/10/2014