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DTC Rulemaking Archive: 2005
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.
Note: Only selected SRO rule proposals were posted to the SEC website prior to 2004. To obtain releases not appearing on the website, contact the Public Reference Room at (202) 551-8090 or by e-mail: publicinfo@sec.gov.
Available DTC Rules include:
Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
DTC File Number List for 2005
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Release No. |
Date |
Details |
Fourth Quarter |
SR-DTC-2005-19 |
34-53032 |
Dec. 28, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Enhancements of the SMART/Track Service
Comments due: January 30, 2006
|
SR-DTC-2005-20 |
34-52977 |
Dec. 19, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue Its Domestic Tax Reporting Service
Comments due: January 17, 2006
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SR-DTC-2005-16 |
34-52922 |
Dec. 7, 2005 |
Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments received are available for this notice.
Additional File Nos.: SR-FICC-2005-19, and SR-NSCC-2005-14
See also: SR-FICC-2005-19: Notice: Rel. No. 34-52663 and comments
SR-NSCC-2005-14: Notice: Rel. No. 34-52664
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SR-DTC-2005-18 |
34-52852 |
Nov. 29, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Scope of Risk Management Controls as They Relate to Maturity Presentment Transactions of Pledged Money Market Instruments
Comments due: December 27, 2005
|
SR-DTC-2005-17 |
34-52785 |
Nov. 16, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Systems Enhancement for the Processing of Information in its Restricted Deposit Service
Comments due: December 16, 2005
|
SR-DTC-2005-08 |
34-52784 |
Nov. 16, 2005 |
Order Granting Approval of a Proposed Rule Change Relating to the New Canadian Link Service
See also: Notice: Rel. No. 34-52471
|
SR-DTC-2005-14 |
34-52721 |
Nov. 2, 2005 |
Notice of Filing of a Proposed Rule Change Relating to Compliance with Regulations Administered by the Office of Foreign Assets Control
Comments due: December 5, 2005
See also: Order: Rel. No. 34-54120
Comments received are available for this notice.
|
SR-DTC-2005-16 |
34-52665 |
Oct. 25, 2005 |
Notice of Filing of Proposed Rule Change to Require Members To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due: November 21, 2005
See also: Order: Rel. No. 34-52922;
Comments received are available for this notice.
|
SR-DTC-2005-15 |
34-52653 |
Oct. 21, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Use of Contra CUSIP Numbers to Segregate Partially-Called Positions of Participants in Variable Rate Demand Obligation Issues
Comments due: November 21, 2005
|
Third Quarter |
SR-DTC-2005-10 |
34-52524 |
Sep. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Procedures Relating to the Destruction of Certain Non-Transferable Securities Certificates that Are Held in DTC’s Internal Removal Account Known as PREM
Comments due: October 28, 2005
|
SR-DTC-2005-13 |
34-52509 |
Sep. 26, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Transfer Agent Drop Service
Comments due: October 24, 2005
|
SR-DTC-2005-08 |
34-52471 |
Sep. 19, 2005 |
Notice of Filing of a Proposed Rule Change Relating to the New Canadian-Link Service
Comments due: October 17, 2005
See also: Order: Rel. No. 34-52784
|
SR-DTC-2005-07 |
34-52450 |
Sep. 15, 2005 |
Order Approving Proposed Rule Change to Expand the Functioning of DTC’s Inventory Management System
See also: Notice: Rel. No. 34-52123
|
SR-DTC-2005-04 |
34-52446 |
Sep. 15, 2005 |
Order Approving Proposed Rule Change To Establish a Fine for Members Failing to Conduct Connectivity Testing
Additional File Nos.: SR-FICC-2005-10, and SR-NSCC-2005-05
See also: Notice: Rel. No. 34-52043
|
SR-DTC-2005-11 |
34-52422 |
Sep. 14, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Insurance Program as Part of the Profile Modification System Feature of its Direct Registration System
Comments due: October 11, 2005
|
SR-DTC-2005-12 |
34-52393 |
Sep. 8, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Scope and Update the Description of the Security Position Reports Service
Comments due: October 6, 2005
|
SR-DTC-2005-07 |
34-52123 |
Jul. 26, 2005 |
Notice of Filing of Proposed Rule Change Relating to an Expansion of DTC’s Inventory Management System
Comments due: August 22, 2005
See also: Order: Rel. No. 34-52450
|
SR-DTC-2005-06 |
34-52104 |
Jul. 21, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Enhancement of the SMART/Track Service
Comments due: August 18, 2005
|
SR-DTC-2005-04 |
34-52043 |
Jul. 15, 2005 |
Notice of Filing of Proposed Rule Changes To Establish a Fine for Members Failing to Conduct Connectivity Testing
File Nos.: SR-DTC-2005-04, SR-FICC-2005-10, and SR-NSCC-2005-05
Comments due: August 5, 2005
See also: Order: Rel. No. 34-52446
|
Second Quarter |
SR-DTC-2005-03 |
34-51870 |
Jun. 17, 2005 |
Order Granting Approval of a Proposed Rule Change Relating to Modification of the Fee Structure
See also: Notice: Rel. No. 34-51675
|
SR-DTC-2005-03 |
34-51675 |
May 9, 2005 |
Notice of Filing of a Proposed Rule Change Relating to the Collection of Fees for Services Provided by Other Entities
Comments due: June 3, 2005
See also: Order: Rel. No. 34-51870
|
First Quarter |
SR-DTC-2004-12 |
34-51439 |
Mar. 28, 2005 |
Order Granting Approval of a Proposed Rule Change to Revise Fees for Low Volume Tender Offers
See also: Notice: Rel. No. 34-51156
|
SR-DTC-2005-02 |
34-51290 |
Mar. 2, 2005 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Establish a Set Up Fee for Open-Ended Mutual Funds
Comments due: March 29, 2005
|
SR-DTC-2005-01 |
34-51289 |
Mar. 2, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Open-Ended Funds Depository Eligible
Comments due: March 29, 2005
|
SR-DTC-2004-12 |
34-51156 |
Feb. 8, 2005 |
Notice of Filing of Proposed Rule Change to Revise Fees for Low Volume Tender Offers
Comments due: March 8, 2005
See also: Order: Rel. No. 34-51439
|
SR-DTC-2004-13 |
34-51034 |
Jan. 13, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Amendment of the Fee Schedule to Revise Fees for Certain Services Provided by DTC
Comments due: February 14, 2005
|
Release No. |
Date |
Details |
SR-DTC-2005-22 |
34-53463 |
Mar. 10, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fee Schedule
Comments due: April 7, 2006
Comments received are available for this notice.
|
SR-DTC-2005-21 |
34-53471 |
Mar. 13, 2006 |
Order Approving Proposed Rule Change to Implement and Revise Fees Related to Non-Participant Services
|
34-53219 |
Feb. 3, 2006 |
Notice of Filing of Proposed Rule Change to Implement and Revise Fees Related to Non-Participant Services
Comments due: March 2, 2006
|
SR-DTC-2005-20 |
34-52977 |
Dec. 19, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue Its Domestic Tax Reporting Service
Comments due: January 17, 2006
|
SR-DTC-2005-19 |
34-53032 |
Dec. 28, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Enhancements of the SMART/Track Service
Comments due: January 30, 2006
|
SR-DTC-2005-18 |
34-52852 |
Nov. 29, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Scope of Risk Management Controls as They Relate to Maturity Presentment Transactions of Pledged Money Market Instruments
Comments due: December 27, 2005
|
SR-DTC-2005-17 |
34-52785 |
Nov. 16, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Systems Enhancement for the Processing of Information in its Restricted Deposit Service
Comments due: December 16, 2005
|
SR-DTC-2005-16 |
34-52922 |
Dec. 7, 2005 |
Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Additional File Nos.:SR-FICC-2005-19 and SR-NSCC-2005-14
See also: SR-FICC-2005-19: Notice: Rel. No. 34-52663 and comments
SR-NSCC-2005-14: Notice: Rel. No. 34-52664
|
34-52665 |
Oct. 25, 2005 |
Notice of Filing of Proposed Rule Change to Require Members To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due: November 21, 2005
Comments received are available for this notice.
|
SR-DTC-2005-15 |
34-52653 |
Oct. 21, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Use of Contra CUSIP Numbers to Segregate Partially-Called Positions of Participants in Variable Rate Demand Obligation Issues
Comments due: November 21, 2005
|
SR-DTC-2005-14 |
34-54120 |
Jul. 10, 2006 |
Order Approving a Proposed Rule Change Relating to Compliance with Regulations Administered by the Office of Foreign Assets Control
|
34-52721 |
Nov. 2, 2005 |
Notice of Filing of a Proposed Rule Change Relating to Compliance with Regulations Administered by the Office of Foreign Assets Control
Comments due: December 5, 2005
Comments received are available for this notice.
|
SR-DTC-2005-13 |
34-52509 |
Sep. 26, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Transfer Agent Drop Service
Comments due: October 24, 2005
|
SR-DTC-2005-12 |
34-52393 |
Sep. 8, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Scope and Update the Description of the Security Position Reports Service
Comments due: October 6, 2005
|
SR-DTC-2005-11 |
34-52422 |
Sep. 14, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Insurance Program as Part of the Profile Modification System Feature of its Direct Registration System
Comments due: October 11, 200521 days after publication in the Federal Register
|
SR-DTC-2005-10 |
34-52524 |
Sep. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Procedures Relating to the Destruction of Certain Non-Transferable Securities Certificates that Are Held in DTC’s Internal Removal Account Known as PREM
Comments due: October 28, 2005
|
SR-DTC-2005-08 |
34-52784 |
Nov. 16, 2005 |
Order Granting Approval of a Proposed Rule Change Relating to the New Canadian Link Service
|
34-52471 |
Sep. 19, 2005 |
Notice of Filing of a Proposed Rule Change Relating to the New Canadian-Link Service
Comments due: October 17, 2005
|
SR-DTC-2005-07 |
34-52450 |
Sep. 15, 2005 |
Order Approving Proposed Rule Change to Expand the Functioning of DTC’s Inventory Management System
|
34-52123 |
Jul. 26, 2005 |
Notice of Filing of Proposed Rule Change Relating to an Expansion of DTC’s Inventory Management System
Comments due: August 22, 2005
|
SR-DTC-2005-06 |
34-52104 |
Jul. 21, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Enhancement of the SMART/Track Service
Comments due: August 18, 2005
|
SR-DTC-2005-04 |
34-52446 |
Sep. 15, 2005 |
Order Approving Proposed Rule Change To Establish a Fine for Members Failing to Conduct Connectivity Testing
Additional File Nos.: SR-FICC-2005-10, and SR-NSCC-2005-05
|
34-52043 |
Jul. 15, 2005 |
Notice of Filing of Proposed Rule Changes To Establish a Fine for Members Failing to Conduct Connectivity Testing
File Nos.: SR-DTC-2005-04, SR-FICC-2005-10, and SR-NSCC-2005-05
Comments due: August 5, 2005
|
SR-DTC-2005-03 |
34-51870 |
Jun. 17, 2005 |
Order Granting Approval of a Proposed Rule Change Relating to Modification of the Fee Structure
|
34-51675 |
May 9, 2005 |
Notice of Filing of a Proposed Rule Change Relating to the Collection of Fees for Services Provided by Other Entities
Comments due: June 3, 2005
|
SR-DTC-2005-02 |
34-51290 |
Mar. 2, 2005 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Establish a Set Up Fee for Open-Ended Mutual Funds
Comments due: March 29, 2005
|
SR-DTC-2005-01 |
34-51289 |
Mar. 2, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Open-Ended Funds Depository Eligible
Comments due: March 29, 2005
|
http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2005.shtml
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