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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

Additional Archives


Chronological List
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

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

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


File Number List

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


Modified: 10/16/2014