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DTC Rulemaking Archive: 2007
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
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
DTC File Number List for 2007
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Release No. |
Date |
Details |
Fourth Quarter |
SR-DTC-2007-15 |
34-57071 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Stock Loan and Repurchase Processing
Comments due: January 28, 2008
|
SR-DTC-2007-06 |
34-56863 |
Nov. 29, 2007 |
Notice of Filing of Proposed Rule Change to Amend the Hearing Procedures Afforded to an Interested Person and Harmonize Them with Similar Rules of its Affiliates
Comments due: December 21, 2007
See also:
Order: Rel. No. 34-57406
|
SR-DTC-2007-13 |
34-56840 |
Nov. 27, 2007 |
Notice of Filing of a Proposed Rule Change Relating to the Foreign Currency Payment Option
Comments due: December 24, 2007
See also: Orders: Rel. Nos.
34-57298A
and
34-57298
|
SR-DTC-2007-11 |
34-56795 |
Nov. 15, 2007 |
Notice of Filing of Proposed Rule Change to Amend its Operational Arrangements as it Applies to Structured Securities
Comments due: December 11, 2007
See also:
Order: Rel. No. 34-57542;
Notice: Rel. No. 34-57283
Comments received
are available
for this notice.
Submit comments on SR-DTC-2007-11 |
SR-DTC-2007-12 |
34-56706 |
Oct. 26, 2007 |
Notice of Filing of a Proposed Rule Change Relating to DTC Opening an Omnibus Account at Euroclear Bank
Comments due: November 23, 2007
See also:
Order: Rel. No. 34-58055
Comments received
are available
for this notice.
|
Third Quarter |
SR-DTC-2007-10 |
34-56552 |
Sep. 27, 2007 |
Notice of Filing of Proposed Rule Change to Implement the New Issue Information Dissemination Service for Municipal Securities
Comments due: October 18, 2007
|
SR-DTC-2007-09 |
34-56538 |
Sep. 26, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise its Procedures with Respect to Processing of Certain Voluntary Events in its Reorganization Service and Clarifying Legal Considerations Set Forth in its Procedures Relating to Usage of Information Obtained by Participants
Comments due: October 24, 2007
|
SR-DTC-2007-04 |
34-56277 |
Aug. 17, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to a Policy Statement on the Eligibility of Foreign Securities
See also:
Notice: Rel. No. 34-55940
Comments received
are available
for this notice.
|
SR-DTC-2007-08 |
34-56126 |
Jul. 24, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the National Settlement Service
Comments due: August 22, 2007
|
Second Quarter |
SR-DTC-2007-04 |
34-55940 |
Jun. 21, 2007 |
Notice of Filing of a Proposed Rule Change Relating to a Policy Statement on the Eligibility of Foreign Securities
Comments due: July 19, 2007
See also:
Order: Rel. No. 34-56277
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-2006-16 |
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
See also: Notices: Rel. Nos.
34-57959
and
34-57362
Order:
34-60196
Comments received
are available
for this notice.
|
First Quarter |
SR-DTC-2007-02 |
34-55488 |
Mar. 19, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Charged to the CDS Clearing and Depository Services, Inc.
Comments due: April 13, 2007
|
SR-DTC-2007-03 |
34-55390 |
Mar. 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New York Governing Law
Comments due: March 30, 2007
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
See also:
Notice: Rel. No. 34-54927
|
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-2006-15 |
34-55239 |
Feb. 5, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to the Canadian Link Service
See also:
Notice: Rel. No. 34-54855
|
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
|
Release No. |
Date |
Details |
SR-DTC-2007-17 |
34-57193 |
Jan. 24, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fee Schedule
Comments due: February 20, 2008
|
SR-DTC-2007-16 |
34-58345 |
Aug. 12, 2008 |
Order Granting Approval of a Proposed Rule Change Relating to the Admission of Foreign Entities as Direct Depository Participants
|
34-57392 |
Feb. 27, 2008 |
Notice of Filing of a Proposed Rule Change Relating to the Admission of Foreign Entities as Direct Depository Participants
Comments due: March 28, 2008
|
SR-DTC-2007-15 |
34-57071 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Stock Loan and Repurchase Processing
Comments due: January 28, 2008
|
SR-DTC-2007-14 |
34-57901 |
Jun. 2, 2008 |
Order Approving Proposed Rule Changes, as amended, to Provide for the Settlement of Institutional Transactions in Conjunction with Each Other Through a Service Called ID Net
Additional File No.: SR-NSCC-2007-14
|
34-57573 |
Mar. 27, 2008 |
Notice of Filing of Proposed Rule Changes, as amended, to Provide for the Settlement of Institutional Transactions in Conjunction with Each Other Through a Service Called ID Net
Additional File No.: SR-NSCC-2007-14
Comments due: 21 days after publication in the Federal Register
|
SR-DTC-2007-13 |
34-57298A |
Feb. 8, 2008 |
Order Granting Approval of a Proposed Rule Change Relating to the Foreign Currency Payment Option [CORRECTION]
|
34-57298 |
Feb. 8, 2008 |
Order Granting Approval of a Proposed Rule Change Relating to the Foreign Currency Payment Option
|
34-56840 |
Nov. 27, 2007 |
Notice of Filing of a Proposed Rule Change Relating to the Foreign Currency Payment Option
Comments due: December 24, 2007
|
SR-DTC-2007-12 |
34-58055 |
Jun. 27, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to DTC Opening an Omnibus Account at Euroclear Bank
|
34-56706 |
Oct. 26, 2007 |
Notice of Filing of a Proposed Rule Change Relating to DTC Opening an Omnibus Account at Euroclear Bank
Comments due: November 23, 2007
Comments received
are available
for this notice.
|
SR-DTC-2007-11 |
34-57542 |
Mar. 20, 2008 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Amend its Operational Arrangements as it Applies to Structured Securities
|
34-57283 |
Feb. 6, 2008 |
Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend its Operational Arrangements as it Applies to Structured Securities
Comments due: March 5, 2008
Comments received
are available
for this notice.
|
34-56795 |
Nov. 15, 2007 |
Notice of Filing of Proposed Rule Change to Amend its Operational Arrangements as it Applies to Structured Securities
Comments due: December 11, 2007
Comments received
are available
for this notice.
|
SR-DTC-2007-10 |
34-57768 |
May 2, 2008 |
Order Granting Accelerated Approval of an Amended Proposed Rule Change to Implement the New Issue Information Dissemination Service for Municipal Securities
|
34-57647 |
Apr. 10, 2008 |
Notice of Filing of Amended Proposed Rule Change to Implement the New Issue Information Dissemination Service for Municipal Securities
Comments due: May 1, 2008
|
34-57513 |
Mar. 17, 2008 |
Notice of Filing of Amended Proposed Rule Change to Implement the New Issue Information Dissemination Service for Municipal Securities
Comments due: April 8, 2008
|
34-56552 |
Sep. 27, 2007 |
Notice of Filing of Proposed Rule Change to Implement the New Issue Information Dissemination Service for Municipal Securities
Comments due: October 18, 2007
|
SR-DTC-2007-09 |
34-56538 |
Sep. 26, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise its Procedures with Respect to Processing of Certain Voluntary Events in its Reorganization Service and Clarifying Legal Considerations Set Forth in its Procedures Relating to Usage of Information Obtained by Participants
Comments due: October 24, 2007
|
SR-DTC-2007-08 |
34-56126 |
Jul. 24, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the National Settlement Service
Comments due: August 22, 2007
|
SR-DTC-2007-07 |
34-59035 |
Dec. 1, 2008 |
Order Approving Proposed Rule Change to Amend the Applicant Disqualification Criteria Contained in its Rules
|
34-58122 |
Jul. 9, 2008 |
Notice of Filing of Proposed Rule Change to Amend the Applicant Disqualification Criteria Contained in its Rules
Comments due: August 6, 2008
|
SR-DTC-2007-06 |
34-57406 |
Feb. 29, 2008 |
Order Approving Proposed Rule Change to Modify the Hearing Procedures Afforded to Interested Persons for Membership and Harmonize Them with Similar Rules of its Affiliates
|
34-56863 |
Nov. 29, 2007 |
Notice of Filing of Proposed Rule Change to Amend the Hearing Procedures Afforded to an Interested Person and Harmonize Them with Similar Rules of its Affiliates
Comments due: December 21, 2007
|
SR-DTC-2007-05 |
34-58157 |
Jul. 15, 2008 |
Order Approving a Proposed Rule Change Relating to Harmonizing Fines with the National Securities Clearing Corporation and the Fixed Income Clearing Corporation
|
34-57665 |
Apr. 15, 2008 |
Notice of Filing of Proposed Rule Change to Restructure its Rules Relating to Fines and to Harmonize Them with Similar Rules of its Affiliates
Comments due: May 13, 2008
|
SR-DTC-2007-04 |
34-56277 |
Aug. 17, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to a Policy Statement on the Eligibility of Foreign Securities
|
34-55940 |
Jun. 21, 2007 |
Notice of Filing of a Proposed Rule Change Relating to a Policy Statement on the Eligibility of Foreign Securities
Comments due: July 19, 2007
Comments received
are available
for this notice.
|
SR-DTC-2007-03 |
34-55390 |
Mar. 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New York Governing Law
Comments due: March 30, 2007
Comments received
are available
for this notice.
|
SR-DTC-2007-02 |
34-55488 |
Mar. 19, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Charged to the CDS Clearing and Depository Services, Inc.
Comments due: April 13, 2007
|
http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2007.shtml
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