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DTC Rulemaking Archive: 2006

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 2006

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-DTC-2006-07
34-54927 Dec. 13, 2006 Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant
Comments due:  January 10, 2007
See also:  Order: Rel. No. 34-55365

SR-DTC-2006-13
34-54902 Dec. 8, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify Deposit Service Procedures To Help Assure Compliance With OFAC Regulations
Comments due:  January 4, 2007

SR-DTC-2006-15
34-54855 Dec. 1, 2006 Notice of Filing of a Proposed Rule Change Relating to the Canadian Link Service
Comments due:  December 29, 2006
See also:  Order: Rel. No. 34-55239

SR-DTC-2006-14
34-54775 Nov. 17, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend its Certificate of Organization to Provide for the Issuance of an Additional 500,000 Shares of DTC Series A Preferred Stock
Comments due:  December 18, 2006

SR-DTC-2006-11
34-54701 Nov. 3, 2006 Order Approving Proposed Rule Change to Allow the Inventory Management System to Accept Real-Time and Late Affirmed Trades from Omgeo
See also:  Notice: Rel. No. 34-54521

SR-DTC-2006-11
34-54521 Sep. 27, 2006 Notice of Filing of Proposed Rule Change to Allow the Inventory Management System to Accept Real-Time and Late Affirmed Trades from Omgeo
Comments due:  October 24, 2006
See also:  Order: Rel. No. 34-54701

SR-DTC-2006-12
34-54408 Sep. 6, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the LENS Service
Comments due:  October 4, 2006
Third Quarter

SR-DTC-2006-09
34-54367 Aug. 25, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule to Revise the DTC Custody Service Guide to Incorporate the Terms of Certain Participant Agreements
Comments due:  September 22, 2006

SR-DTC-2006-10
34-54173 Jul. 19, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Whereby the President of Each Clearing Agency Shall Also Serve as its Chief Executive Officer
Other File Nos.:   SR-FICC-2006-09, and SR-NSCC-2006-08
Comments due:  August 18, 2006

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
See also:  Notice: Rel. No. 34-51721
Comments received are available for this notice.
Second Quarter

SR-DTC-2006-08
34-53970 Jun. 12, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Mechanism by Which It Will Collect and Pass-Through Fees Owed by Participants to American Depository Receipt Agents for Certain Issues and to Collect a Charge for this Service
Comments due:  July 7, 2006
Comments received are available for this notice.

SR-DTC-2006-06
34-53810 May 16, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to Changes to Its SMART/Track for Buy-Ins Service
Comments due:  June 13, 2006
* Submit comments on SR-DTC-2006-06

SR-DTC-2006-05
34-53679 Apr. 19, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Centralized Billing Process Relating to the Profile Modification System in DRS
Comments due:  May 17, 2006

SR-DTC-2006-03
34-53655 Apr. 14, 2006 Order Approving Proposed Rule Change to Amend the Criteria Used to Place Participants on Surveillance Status
See also:  Notice: Rel. No. 34-53435
First Quarter

SR-DTC-2006-01
34-53503 Mar. 16, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Participant Exchange System
Comments due:  April 17, 2006

SR-DTC-2005-21
34-53471 Mar. 13, 2006 Order Approving Proposed Rule Change to Implement and Revise Fees Related to Non-Participant Services
See also:  Notice: Rel. No. 34-53219

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-2006-03
34-53435 Mar. 7, 2006 Notice of Filing of Proposed Rule Change to Amend the Criteria Used to Place Participants on Surveillance Status
Comments due:  April 4, 2006
See also:  Order: Rel. No. 34-53655

SR-DTC-2006-04
34-53395 Mar. 2, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Exclude Non-U.S.-Based Central Securities Depositories From a Requirement To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due:  March 29, 2006
Additional File Nos.: SR-FICC-2006-01, and SR-NSCC-2006-01

SR-DTC-2005-21
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
See also:  Order: Rel. No. 34-53471


File Number List

Release No. Date Details

SR-DTC-2006-21
34-55306 Feb. 15, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fee in Connection with Its Offering of a Mechanism by which It Collects and Passes-Through Fees Owed by Participants to American Depositary Receipt Agents for Certain Issues
Comments due:  March 16, 2007
Comments received are available for this notice.

SR-DTC-2006-20
34-55829 May 30, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify DTC’s Fee Schedule
Comments due:  June 26, 2007

SR-DTC-2006-19
34-55098 Jan. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Enhancements To Its SMART/Track For Corporate Action Liability Notification Service
Comments due:  February 9, 2007

SR-DTC-2006-17
34-55058 Jan. 8, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding the Security Holder Report Service to the Security Position Report Service
Comments due:  February 6, 2007

SR-DTC-2006-16
34-60196 Jun. 30, 2009 Order Granting Approval of a Proposed Rule Change as Amended Relating to FAST and DRS Limited Participant Requirements for Transfer Agents
Additional Materials:  
34-57959 Jun. 12, 2008 Notice of Filing of Proposed Rule Change of Amended Proposed Rule Change Amending FAST and DRS Limited Participant Requirements for Transfer Agents
Comments due:  July 10, 2008
Comments received are available for this notice.
34-57362 Feb. 20, 2008 Notice of Filing of Amended Proposed Rule Change Amending FAST and DRS Limited Participant Requirements for Transfer Agents
Comments due:  March 20, 2008
Comments received are available for this notice.
34-55816 May 25, 2007 Notice of Filing of Proposed Rule Change Amending FAST and DRS Limited Participant Requirements for Transfer Agents
Comments due:  June 22, 2007
Comments received are available for this notice.

SR-DTC-2006-15
34-55239 Feb. 5, 2007 Order Granting Approval of a Proposed Rule Change Relating to the Canadian Link Service
34-54855 Dec. 1, 2006 Notice of Filing of a Proposed Rule Change Relating to the Canadian Link Service
Comments due:  December 29, 2006

SR-DTC-2006-14
34-54775 Nov. 17, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend its Certificate of Organization to Provide for the Issuance of an Additional 500,000 Shares of DTC Series A Preferred Stock
Comments due:  December 18, 2006

SR-DTC-2006-13
34-54902 Dec. 8, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify Deposit Service Procedures To Help Assure Compliance With OFAC Regulations
Comments due:  January 4, 2007

SR-DTC-2006-12
34-54408 Sep. 6, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the LENS Service
Comments due:  October 4, 2006

SR-DTC-2006-11
34-54701 Nov. 3, 2006 Order Approving Proposed Rule Change to Allow the Inventory Management System to Accept Real-Time and Late Affirmed Trades from Omgeo
34-54521 Sep. 27, 2006 Notice of Filing of Proposed Rule Change to Allow the Inventory Management System to Accept Real-Time and Late Affirmed Trades from Omgeo
Comments due:  October 24, 2006

SR-DTC-2006-10
34-54173 Jul. 19, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Whereby the President of Each Clearing Agency Shall Also Serve as its Chief Executive Officer
Other File Nos.:   SR-FICC-2006-09, and SR-NSCC-2006-08
Comments due:  August 18, 2006

SR-DTC-2006-09
34-54367 Aug. 25, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule to Revise the DTC Custody Service Guide to Incorporate the Terms of Certain Participant Agreements
Comments due:  September 22, 2006

SR-DTC-2006-08
34-53970 Jun. 12, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Mechanism by Which It Will Collect and Pass-Through Fees Owed by Participants to American Depository Receipt Agents for Certain Issues and to Collect a Charge for this Service
Comments due:  July 7, 2006
Comments received are available for this notice.

SR-DTC-2006-07
34-55365 Feb. 27, 2007 Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Participant
34-54927 Dec. 13, 2006 Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant
Comments due:  January 10, 2007

SR-DTC-2006-06
34-53810 May 16, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to Changes to Its SMART/Track for Buy-Ins Service
Comments due:  June 13, 2006

SR-DTC-2006-05
34-53679 Apr. 19, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Centralized Billing Process Relating to the Profile Modification System in DRS
Comments due:  May 17, 2006

SR-DTC-2006-04
34-53395 Mar. 2, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Exclude Non-U.S.-Based Central Securities Depositories From a Requirement To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due:  March 29, 2006
Additional File Nos.: SR-FICC-2006-01, and SR-NSCC-2006-01

SR-DTC-2006-03
34-53655 Apr. 14, 2006 Order Approving Proposed Rule Change to Amend the Criteria Used to Place Participants on Surveillance Status
34-53435 Mar. 7, 2006 Notice of Filing of Proposed Rule Change to Amend the Criteria Used to Place Participants on Surveillance Status
Comments due:  April 4, 2006

SR-DTC-2006-01
34-53503 Mar. 16, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Participant Exchange System
Comments due:  April 17, 2006

 

http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2006.shtml


Modified: 10/20/2009