SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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 2015

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-DTC-2015-007
34-75487 Jul. 20, 2015 Order Approving Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System
See also: Notice: Rel. No. 34-75094

SR-DTC-2015-008
34-75463 Jul. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Settlement Service Guide to Allow Participants to Elect to Receive Certain New Transactional and Settlement Balance Files and Effect a Related Amendment to the DTC Fee Schedule
Comments due:  August 12, 2015
Additional Materials: Exhibit 5

SR-DTC-2015-003
34-75380 Jul. 7, 2015 Notice of Withdrawal of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
See also: Notice: Rel. No. 34-74830
Second Quarter

SR-DTC-2015-007
34-75094 Jun. 2, 2015 Notice of Filing of Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System
Comments due: June 29, 2015

SR-DTC-2015-006
34-75030 May 21, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that Participants Are Required to Participate in Operational Testing by DTC, Including Testing of DTC’s Business Continuity and Disaster Recovery Plans
Comments due: June 18, 2015
Additional Materials: Exhibit 5

SR-DTC-2015-005
34-74926 May 12, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Revisions to the DTC Custody Service Guide and the DTC Deposits Service Guide
Comments due: June 8, 2015
Additional Materials: Exhibit 5

SR-DTC-2015-004
34-74831 Apr. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a DTC Custody Service Fee Change
Comments due:  May 26, 2015
Additional Materials: Exhibit 5

SR-DTC-2015-003
34-74830 Apr. 29, 2015 Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
Comments due:  May 26, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-75380
Comments received are available for this proposal.

SR-DTC-2015-01
34-74712 Apr. 10, 2015 Order Approving Proposed Rule Change to Discontinue the Prospectus Repository System Service
See also: Notice: Rel. No. 34-74358
First Quarter

SR-DTC-2015-02
34-74485 Mar. 12, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Revisions to the DTC Settlement Service Guide
Comments due: April 8, 2015
Additional Materials: Exhibit 5

SR-DTC-2015-01
34-74358 Feb. 24, 2015 Notice of Filing of Proposed Rule Change to Discontinue the Prospectus Repository System Service
Comments due: March 23, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-74712

SR-DTC-2014-13
34-73982 Jan. 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Charged for Tax Services
Comments due:  January 30, 2015
Additional Materials: Exhibit 5


DTC File Number List for 2015

Release No. Date Details

SR-DTC-2015-008
34-75463 Jul. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Settlement Service Guide to Allow Participants to Elect to Receive Certain New Transactional and Settlement Balance Files and Effect a Related Amendment to the DTC Fee Schedule
Comments due:  August 12, 2015
Additional Materials: Exhibit 5

SR-DTC-2015-007
34-75487 Jul. 20, 2015 Order Approving Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System
34-75094 Jun. 2, 2015 Notice of Filing of Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System
Comments due: June 29, 2015

SR-DTC-2015-006
34-75030 May 21, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that Participants Are Required to Participate in Operational Testing by DTC, Including Testing of DTC’s Business Continuity and Disaster Recovery Plans
Comments due: June 18, 2015
Additional Materials: Exhibit 5

SR-DTC-2015-005
34-74926 May 12, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Revisions to the DTC Custody Service Guide and the DTC Deposits Service Guide
Comments due: June 8, 2015
Additional Materials: Exhibit 5

SR-DTC-2015-004
34-74831 Apr. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a DTC Custody Service Fee Change
Comments due:  May 26, 2015
Additional Materials: Exhibit 5

SR-DTC-2015-003
34-75380 Jul. 7, 2015 Notice of Withdrawal of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
34-74830 Apr. 29, 2015 Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
Comments due:  May 26, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-DTC-2015-02
34-74485 Mar. 12, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Revisions to the DTC Settlement Service Guide
Comments due: April 8, 2015
Additional Materials: Exhibit 5

SR-DTC-2015-01
34-74712 Apr. 10, 2015 Order Approving Proposed Rule Change to Discontinue the Prospectus Repository System Service
See also: Notice: Rel. No. 34-74358
34-74358 Feb. 24, 2015 Notice of Filing of Proposed Rule Change to Discontinue the Prospectus Repository System Service
Comments due: March 23, 2015
Additional Materials: Exhibit 5

 

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


Modified: 07/23/2015