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DTC Rulemaking Archive: 2010
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Chronological List
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Third Quarter |
Second Quarter |
First Quarter
DTC File Number List for 2010
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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
|
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.
|
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
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