SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


DTC Rulemaking Archive: 2010

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 2010

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-DTC-2010-14
34-63567 Dec. 16, 2010 Order Granting Approval of a Proposed Rule Change to Authorize Additional Shares of Preferred Stock and Designate Shares as Series A Preferred Stock
See also:  Notice: Rel. No. 34-63254

SR-DTC-2010-16
34-63415 Dec. 2, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extending the End-Of-Day Cutoff Time For Processing to The Federal Reserve and to Reflect Other Changes Requested by the Federal Reserve
Comments due:  December 29, 2010

SR-DTC-2010-15
34-63320 Nov. 16, 2010 Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Requirement to Maintain a Balance Certificate in the Fast Automated Securities Transfer Program
Comments due:  December 14, 2010
See also:  Order: Rel. No. 34-64191
Comments received are available for this notice.

SR-DTC-2010-13
34-63208A Nov. 5, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a Disincentive Fee Associated with the Deposit Automation Management System (CORRECTION)
See also:  Notice: Rel. No. 34-63208

SR-DTC-2010-14
34-63254 Nov. 5, 2010 Notice of Filing of Proposed Rule Change to Amend the Certificate of Organization to Authorize Additional Shares of Preferred Stock and Designate Shares as Series A Preferred Stock
Comments due:  December 3, 2010
See also:  Order: Rel. No. 34-63567

SR-DTC-2010-12
34-63245 Nov. 4, 2010 Order Approving Proposed Rule Change To Automate the Approval Process In Providing Trustee Access to the Security Position Report Service
See also:  Notice: Rel. No. 34-62990

SR-DTC-2010-13
34-63208 Oct. 28, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a Disincentive Fee Associated with the Deposit Automation Management System
Comments due:  November 26, 2010
See also:  Correction Notice: Rel. No. 34-63208A
Third Quarter

SR-DTC-2010-12
34-62990 Sep. 24, 2010 Notice of Filing of a Proposed Rule Change To Automate the Approval Process In Providing Trustee Access to the Security Position Report Service
Comments due:  October 20, 2010
See also:  Order: Rel. No. 34-63245

SR-DTC-2010-11
34-62795 Aug. 30, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to Authority to Suspend or Waive DTC Rules and Procedures
Comments due:  September 29, 2010

SR-DTC-2010-09
34-62727 Aug. 16, 2010 Order Approving Proposed Rule Change to Revise its Procedures Regarding Securities Delivered to or from Participant Accounts Through the Automated Customer Account Transfer Service of National Securities Clearing Corporation
See also:  Notice: Rel. No. 34-62384

SR-DTC-2010-10
34-62686 Aug. 10, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Promote Efficiencies Within the Legal Notice System
Comments due:  September 7, 2010
Second Quarter

SR-DTC-2010-09
34-62384 Jun. 25, 2010 Notice of Filing of Proposed Rule Change to Revise its Procedures Regarding Securities Delivered to or from Participant Accounts Through the Automated Customer Account Transfer Service of National Securities Clearing Corporation
Comments due:  July 23, 2010
See also:  Order: Rel. No. 34-62727

SR-DTC-2010-08
34-62119 May 18, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise its Procedures Regarding the Participant Tender Offer Program Function
Comments due:  21 days after publication in the Federal Register

SR-DTC-2010-07
34-61922 Apr. 15, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance DTC’s Existing Processing Relating to End of Day Liquidity
Comments due:  May 13, 2010

SR-DTC-2010-06
34-61877 Apr. 8, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elective Dividends Service
Comments due:  May 6, 2010
First Quarter

SR-DTC-2010-03
34-61800 Mar. 30, 2010 Order Granting Approval of a Proposed Rule Change to Eliminate the Option to Receive a Physical Certificate from DTC for Unsponsored American Depositary Receipts that are Part of the Fast Automated Transfer Program
See also:  Notice: Rel. No. 34-61507

SR-DTC-2010-05
34-61784 Mar. 25, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update DTC's Settlement Service Guide as it Relates to the ID Net Service
Comments due:  April 21, 2010

SR-DTC-2010-04
34-61620 Mar. 1, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Registered Transfer Agent Notification Methods for Assumption or Termination of Services
Comments due:  March 29, 2010
Comments received are available for this notice.

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
See also:  Notice: Rel. No. 34-61249

SR-DTC-2010-03
34-61507 Feb. 5, 2010 Notice of Filing of Proposed Rule Change to Eliminate the Option to Receive a Physical Certificate from DTC for Unsponsored American Depositary Receipts that are Part of the Fast Automated Transfer Program
Comments due:  March 15, 2010
See also:  Order: Rel. No. 34-61800

SR-DTC-2010-01
34-61477 Feb. 3, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand its Invitation to Cover Shorts Capability to Include Short Positions Outside DTC
Comments due:  March 3, 2010

SR-DTC-2010-02
34-61476 Feb. 3, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees Related to Invitation to Cover Short Requests
Comments due:  March 3, 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


File Number List

Release No. Date Details

SR-DTC-2010-17
34-63659 Jan. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fee Revisions
Comments due:  February 3, 2011
Comments received are available for this notice.

SR-DTC-2010-16
34-63415 Dec. 2, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extending the End-Of-Day Cutoff Time For Processing to The Federal Reserve and to Reflect Other Changes Requested by the Federal Reserve
Comments due:  December 29, 2010

SR-DTC-2010-15
34-63320 Nov. 16, 2010 Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Requirement to Maintain a Balance Certificate in the Fast Automated Securities Transfer Program
Comments due:  December 14, 2010
Comments received are available for this notice.
* Submit comments on SR-DTC-2010-15

SR-DTC-2010-14
34-63567 Dec. 16, 2010 Order Granting Approval of a Proposed Rule Change to Authorize Additional Shares of Preferred Stock and Designate Shares as Series A Preferred Stock
34-63254 Nov. 5, 2010 Notice of Filing of Proposed Rule Change to Amend the Certificate of Organization to Authorize Additional Shares of Preferred Stock and Designate Shares as Series A Preferred Stock
Comments due:  December 3, 2010

SR-DTC-2010-13
34-63208A Nov. 5, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a Disincentive Fee Associated with the Deposit Automation Management System (CORRECTION)
34-63208 Oct. 28, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a Disincentive Fee Associated with the Deposit Automation Management System
Comments due:  November 26, 2010

SR-DTC-2010-12
34-63245 Nov. 4, 2010 Order Approving Proposed Rule Change To Automate the Approval Process In Providing Trustee Access to the Security Position Report Service
34-62990 Sep. 24, 2010 Notice of Filing of a Proposed Rule Change To Automate the Approval Process In Providing Trustee Access to the Security Position Report Service
Comments due:  October 20, 2010

SR-DTC-2010-11
34-62795 Aug. 30, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to Authority to Suspend or Waive DTC Rules and Procedures
Comments due:  September 29, 2010

SR-DTC-2010-10
34-62686 Aug. 10, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Promote Efficiencies Within the Legal Notice System
Comments due:  September 7, 2010

SR-DTC-2010-09
34-62727 Aug. 16, 2010 Order Approving Proposed Rule Change to Revise its Procedures Regarding Securities Delivered to or from Participant Accounts Through the Automated Customer Account Transfer Service of National Securities Clearing Corporation
34-62384 Jun. 25, 2010 Notice of Filing of Proposed Rule Change to Revise its Procedures Regarding Securities Delivered to or from Participant Accounts Through the Automated Customer Account Transfer Service of National Securities Clearing Corporation
Comments due:  July 23, 2010

SR-DTC-2010-08
34-62119 May 18, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise its Procedures Regarding the Participant Tender Offer Program Function
Comments due:  21 days after publication in the Federal Register

SR-DTC-2010-07
34-61922 Apr. 15, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance DTC’s Existing Processing Relating to End of Day Liquidity
Comments due:  May 13, 2010

SR-DTC-2010-06
34-61877 Apr. 8, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elective Dividends Service
Comments due:  May 6, 2010

SR-DTC-2010-05
34-61784 Mar. 25, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update DTC's Settlement Service Guide as it Relates to the ID Net Service
Comments due:  April 21, 2010

SR-DTC-2010-04
34-61620 Mar. 1, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Registered Transfer Agent Notification Methods for Assumption or Termination of Services
Comments due:  March 29, 2010
Comments received are available for this notice.

SR-DTC-2010-03
34-61800 Mar. 30, 2010 Order Granting Approval of a Proposed Rule Change to Eliminate the Option to Receive a Physical Certificate from DTC for Unsponsored American Depositary Receipts that are Part of the Fast Automated Transfer Program
34-61507 Feb. 5, 2010 Notice of Filing of Proposed Rule Change to Eliminate the Option to Receive a Physical Certificate from DTC for Unsponsored American Depositary Receipts that are Part of the Fast Automated Transfer Program
Comments due:  March 15, 2010

SR-DTC-2010-02
34-61476 Feb. 3, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees Related to Invitation to Cover Short Requests
Comments due:  March 3, 2010

SR-DTC-2010-01
34-61477 Feb. 3, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand its Invitation to Cover Shorts Capability to Include Short Positions Outside DTC
Comments due:  March 3, 2010

 

http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2010.shtml


Modified: 04/06/2011