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DTC Rulemaking Archive: 2009

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 2009

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-DTC-2009-19
34-61263 Dec. 30, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fee Schedule
Comments due:  February 1, 2010

SR-DTC-2009-17
34-61249 Dec. 29, 2009 Notice of Filing of Proposed Rule Change to Allow The Depository Trust Company to Provide Settlement Services to European Central Counterparty Limited for U.S. Securities Traded on European Trading Venues
Comments due:  January 26, 2010
See also:  Order: Rel. No. 34-61593

SR-DTC-2009-16
34-61216 Dec. 22, 2009 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding The Depository Trust Company's Board of Directors Election Process
Comments due:  January 19, 2010

SR-DTC-2009-13
34-60889 Oct. 27, 2009 Order Approving Proposed Rule Change Relating to Municipal Bonds Redemption Process
See also:  Notice: Rel. No. 34-60394
Third Quarter

SR-DTC-2009-15
34-60704 Sep. 22, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Payment Order System for Premium Payment Orders
Comments due:  October 22, 2009

SR-DTC-2009-14
34-60660 Sep. 11, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Other File Nos.:  SR-NSCC-2009-07, SR-FICC-2009-09
Comments due:  October 13, 2009
Comments received are available for this notice.

SR-DTC-2009-11
34-60594 Aug. 31, 2009 Order Approving Proposed Rule Change to Eliminate One of the Indemnity Surety Programs in the Profile Modification System
See also:  Notice: Rel. No. 34-60304

SR-DTC-2009-13
34-60394 Jul. 28, 2009 Notice of Filing of Proposed Rule Change Relating to Municipal Bonds Redemption Process
Comments due:  August 25, 2009
See also:  Order: Rel. No. 34-60889
Comments received are available for this notice.

SR-DTC-2009-11
34-60304 Jul. 14, 2009 Notice of Filing of Proposed Rule Change to Eliminate One of the Indemnity Surety Programs in the Profile Modification System
Comments due:  August 10, 2009
See also:  Order: Rel. No. 34-60594
Second Quarter

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:   See also:  Notice: Rel. No. 34-57959

SR-DTC-2009-12
34-60173 Jun. 25, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Voluntary Participants Fund Deposit
Comments due:  July 23, 2009

SR-DTC-2009-10
34-60096 Jun. 11, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the Web Inquiry Notification System
Comments due:  July 8, 2009

SR-DTC-2009-09
34-60036 Jun. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Alternate Choice in DTC’s Profile Modification System Indemnity Insurance Program
Comments due:  July 6, 2009

SR-DTC-2009-07
34-59917 May 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Additional File Nos.:  SR-FICC-2009-06 and SR-NSCC-2009-03
Comments due:  June 11, 2009
Comments received are available for this notice.

SR-DTC-2009-05
34-59821 Apr. 24, 2009 Order Approving a Proposed Rule Change Relating to Expanding the Scope and Timing to Collect and Pass-Through Fees Owed by Participants to American Depositary Receipt Agents
See also:  Notice: Rel. No. 34-59540

SR-DTC-2009-08
34-59774 Apr. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Settlement Service Guide and Settlement Progress Payments
Comments due:  May 13, 2009

SR-DTC-2009-02
34-59695 Apr. 2, 2009 Order Approving Proposed Rule Change to Implement a Maturity Presentment Pend Function to Replace the Maturity Presentment Contingency System
See also:  Notice: Rel. No. 34-59388
First Quarter

SR-DTC-2009-04
34-59618 Mar. 23, 2009 Order Approving Proposed Rule Change to Implement and Revise Fees Related to Non-Participant Services
See also:  Notice: Rel. No. 34-59387

SR-DTC-2009-06
34-59612 Mar. 20, 2009 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend Certificate of Incorporation to Increase Preferred Shares Issuance
Comments due:  April 17, 2009

SR-DTC-2009-05
34-59540 Mar. 9, 2009 Notice of Filing of a Proposed Rule Change Relating to Expanding the Scope and Timing to Collect and Pass-Through Fees Owed by Participants to American Depositary Receipt Agents
Comments due:  April 6, 2009
See also:  Order: Rel. No. 34-59821

SR-DTC-2009-03
34-59409 Feb. 13, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Revise its Fee Schedule
Comments due:  March 13, 2009

SR-DTC-2008-13
34-59384 Feb. 11, 2009 Order Approving a Proposed Rule Change Relating to Eliminating the SRO Requirement as a Condition of DTC-Eligibility for Securities that are Eligible for Resale under Rule 144A under the Securities Act of 1933
See also:  Notice: Rel. No. 34-59088

SR-DTC-2009-02
34-59388 Feb. 11, 2009 Notice of Filing of Proposed Rule Change to Implement a Maturity Presentment Pend Function to Replace the Maturity Presentment Contingency System
Comments due:  March 12, 2009
See also:  Order: Rel. No. 34-59695

SR-DTC-2009-04
34-59387 Feb. 11, 2009 Notice of Filing of Proposed Rule Change to Implement and Revise Fees Related to Non-Participant Services
Comments due:  March 12, 2009
See also:  Order: Rel. No. 34-59618

SR-DTC-2008-06
34-59386 Feb. 11, 2009 Order Approving Proposed Rule Change, As Amended, to Modify End of Day Settlement Procedures Relating to Settlement Acknowledgement Cut-off Time Frames for Settling Banks
See also:  Notice: Rel. No. 34-58343

SR-DTC-2008-15
34-59298 Jan. 26, 2009 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Provide The Options Clearing Corporation with Settlement Services for Stock Loan Transactions Entered Into Under the Market Loan Program
Comments due:  February 20, 2009

SR-DTC-2009-01
34-59286 Jan. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to the Deposits Service Guide
Comments due:  February 23, 2009

SR-DTC-2008-14
34-59199 Jan. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Existing Operational Arrangements
Comments due:  February 2, 2009
Comments received are available for this notice.


File Number List

Release No. Date Details

SR-DTC-2009-19
34-61263 Dec. 30, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fee Schedule
Comments due:  February 1, 2010

SR-DTC-2009-18
34-61318 Jan. 8, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Settlement Progress Payment and Principal and Income Withdrawal Cutoff Times
Comments due:  February 5, 2010

SR-DTC-2009-17
34-61593 Feb. 25, 2010 Order Approving Proposed Rule Change to Allow The Depository Trust Company to Provide Settlement Services to European Central Counterparty Limited for U.S. Securities Traded on European Trading Venues
34-61249 Dec. 29, 2009 Notice of Filing of Proposed Rule Change to Allow The Depository Trust Company to Provide Settlement Services to European Central Counterparty Limited for U.S. Securities Traded on European Trading Venues
Comments due:  January 26, 2010

SR-DTC-2009-16
34-61216 Dec. 22, 2009 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding The Depository Trust Company's Board of Directors Election Process
Comments due:  January 19, 2010

SR-DTC-2009-15
34-60704 Sep. 22, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Payment Order System for Premium Payment Orders
Comments due:  October 22, 2009

SR-DTC-2009-14
34-60660 Sep. 11, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Other File Nos.:  SR-NSCC-2009-07, SR-FICC-2009-09
Comments due:  October 13, 2009
Comments received are available for this notice.

SR-DTC-2009-13
34-60889 Oct. 27, 2009 Order Approving Proposed Rule Change Relating to Municipal Bonds Redemption Process
34-60394 Jul. 28, 2009 Notice of Filing of Proposed Rule Change Relating to Municipal Bonds Redemption Process
Comments due:  August 25, 2009
Comments received are available for this notice.

SR-DTC-2009-12
34-60173 Jun. 25, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Voluntary Participants Fund Deposit
Comments due:  July 23, 2009

SR-DTC-2009-11
34-60594 Aug. 31, 2009 Order Approving Proposed Rule Change to Eliminate One of the Indemnity Surety Programs in the Profile Modification System
34-60304 Jul. 14, 2009 Notice of Filing of Proposed Rule Change to Eliminate One of the Indemnity Surety Programs in the Profile Modification System
Comments due:  August 10, 2009

SR-DTC-2009-10
34-60096 Jun. 11, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the Web Inquiry Notification System
Comments due:  July 8, 2009

SR-DTC-2009-09
34-60036 Jun. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Alternate Choice in DTC’s Profile Modification System Indemnity Insurance Program
Comments due:  July 6, 2009

SR-DTC-2009-08
34-59774 Apr. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Settlement Service Guide and Settlement Progress Payments
Comments due:  May 13, 2009

SR-DTC-2009-07
34-59917 May 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Additional File Nos.:  SR-FICC-2009-06 and SR-NSCC-2009-03
Comments due:  June 11, 2009
Comments received are available for this notice.

SR-DTC-2009-06
34-59612 Mar. 20, 2009 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend Certificate of Incorporation to Increase Preferred Shares Issuance
Comments due:  April 17, 2009

SR-DTC-2009-05
34-59821 Apr. 24, 2009 Order Approving a Proposed Rule Change Relating to Expanding the Scope and Timing to Collect and Pass-Through Fees Owed by Participants to American Depositary Receipt Agents
34-59540 Mar. 9, 2009 Notice of Filing of a Proposed Rule Change Relating to Expanding the Scope and Timing to Collect and Pass-Through Fees Owed by Participants to American Depositary Receipt Agents
Comments due:  April 6, 2009

SR-DTC-2009-04
34-59618 Mar. 23, 2009 Order Approving Proposed Rule Change to Implement and Revise Fees Related to Non-Participant Services
34-59387 Feb. 11, 2009 Notice of Filing of Proposed Rule Change to Implement and Revise Fees Related to Non-Participant Services
Comments due:  March 12, 2009

SR-DTC-2009-03
34-59409 Feb. 13, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Revise its Fee Schedule
Comments due:  March 13, 2009

SR-DTC-2009-02
34-59695 Apr. 2, 2009 Order Approving Proposed Rule Change to Implement a Maturity Presentment Pend Function to Replace the Maturity Presentment Contingency System
34-59388 Feb. 11, 2009 Notice of Filing of Proposed Rule Change to Implement a Maturity Presentment Pend Function to Replace the Maturity Presentment Contingency System
Comments due:  March 12, 2009

SR-DTC-2009-01
34-59286 Jan. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to the Deposits Service Guide
Comments due:  February 23, 2009

 

http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2009.shtml


Modified: 03/11/2010