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DTC Rulemaking Archive: 2011

Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter

DTC File Number List for 2011

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-DTC-2011-13
34-66063 Dec. 28, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fees for Equity and Debt Derivatives
Comments due:  January 25, 2012

SR-DTC-2011-12
34-65994 Dec. 16, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to DTC’s Deposits Service Guide
Comments due:  January 12, 2012

SR-DTC-2011-11
34-65993 Dec. 16, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to Update DTC's Custody Service Guide
Comments due:  January 12, 2012

SR-DTC-2011-10
34-65901 Dec. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to Existing Operational Arrangements Involving Eligibility of Securities
Comments due:  January 3, 2012
Comments received are available for this notice.

SR-DTC-2011-09
34-65871 Dec. 2, 2011 Notice of Filing of Proposed Rule Change to Modify a Practice in Order to Mitigate Systemic Risk, Specifically Liquidity Related, Associated with DTC End of Day Net Funds Settlement
Comments due:  December 29, 2011
See also:  Order: Rel. No. 34-66186

SR-DTC-2011-08
34-65831 Nov. 28, 2011 Notice of Filing of Proposed Rule Change to Enhance Risk Management Controls Associated with the Receiver Authorized Delivery Function
Comments due:  December 23, 2011
See also:  Order: Rel. No. 34-66179

SR-DTC-2011-07
34-65721 Nov. 10, 2011 Order Approving a Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Relating To a New Daily Report Subscription for Security Position Reports
See also:  Notice: Rel. No. 34-65286
Third Quarter

SR-DTC-2011-07
34-65286 Sep. 7, 2011 Notice of Filing of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Relating To a New Daily Report Subscription for Security Position Reports
Comments due:  October 5, 2011
See also:  Order: Rel. No. 34-65721

SR-DTC-2011-06
34-65186 Aug. 23, 2011 Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to the Early Redemption of Certificates of Deposit
See also:  Notice: Rel. No. 34-64864

SR-DTC-2011-06
34-64864 Jul. 12, 2011 Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Early Redemption of Certificates of Deposit
Comments due:  August 8, 2011
See also:  Order: Rel. No. 34-65186
Second Quarter

SR-DTC-2011-05
34-64605 Jun. 6, 2011 Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to the Memo Segregation Function
See also:  Notice: Rel. No. 34-64360

SR-DTC-2011-05
34-64360 Apr. 28, 2011 Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Memo Segregation Function
Comments due:  May 25, 2011
See also:  Order: Rel. No. 34-64605

SR-DTC-2010-15
34-64191 Apr. 5, 2011 Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to the Requirement to Maintain a Balance Certificate in the Fast Automated Securities Transfer Program
See also:  Notice: Rel. No. 34-63320
First Quarter

SR-DTC-2011-04
34-64044 Mar. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Dividends Service Guide as it Relates to the Domestic Tax Reporting Service and the U.S. Tax Withholding Service
Comments due:  April 1, 2011

SR-DTC-2011-03
34-63936 Feb. 22, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Providing Participants with a New Optional Settlement Web Interface
Comments due:  March 18, 2011

SR-DTC-2011-02
34-63886 Feb. 10, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to A New Standard to Communicate Corporate Action Events to Participants
Comments due:  March 9, 2011

SR-DTC-2011-01
34-63775 Jan. 26, 2011 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Dividends Service Guide
Comments due:  February 23, 2011

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.


File Number List

Release No. Date Details

SR-DTC-2011-13
34-66063 Dec. 28, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fees for Equity and Debt Derivatives
Comments due:  January 25, 2012

SR-DTC-2011-12
34-65994 Dec. 16, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to DTC’s Deposits Service Guide
Comments due:  January 12, 2012

SR-DTC-2011-11
34-65993 Dec. 16, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to Update DTC's Custody Service Guide
Comments due:  January 12, 2012

SR-DTC-2011-10
34-65901 Dec. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to Existing Operational Arrangements Involving Eligibility of Securities
Comments due:  January 3, 2012
Comments received are available for this notice.

SR-DTC-2011-09
34-66186 Jan. 19, 2012 Order Approving Proposed Rule Change to Modify a Practice in Order to Mitigate Systemic Risk, Specifically Liquidity Related, Associated with DTC End of Day Net Funds Settlement
See also:  Notice: Rel. No. 34-65871
34-65871 Dec. 2, 2011 Notice of Filing of Proposed Rule Change to Modify a Practice in Order to Mitigate Systemic Risk, Specifically Liquidity Related, Associated with DTC End of Day Net Funds Settlement
Comments due:  December 29, 2011

SR-DTC-2011-04
34-66179 Jan. 18, 2012 Order Approving Proposed Rule Change to Enhance Risk Management Controls Associated with the Receiver Authorized Delivery Function
See also:  Notice: Rel. No. 34-64044

SR-DTC-2011-08
34-66179 Jan. 18, 2012 Order Approving Proposed Rule Change to Enhance Risk Management Controls Associated with the Receiver Authorized Delivery Function
34-65831 Nov. 28, 2011 Notice of Filing of Proposed Rule Change to Enhance Risk Management Controls Associated with the Receiver Authorized Delivery Function
Comments due:  December 23, 2011

SR-DTC-2011-07
34-65721 Nov. 10, 2011 Order Approving a Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Relating To a New Daily Report Subscription for Security Position Reports
34-65286 Sep. 7, 2011 Notice of Filing of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Relating To a New Daily Report Subscription for Security Position Reports
Comments due:  October 5, 2011

SR-DTC-2011-06
34-65186 Aug. 23, 2011 Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to the Early Redemption of Certificates of Deposit
34-64864 Jul. 12, 2011 Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Early Redemption of Certificates of Deposit
Comments due:  August 8, 2011

SR-DTC-2011-05
34-64605 Jun. 6, 2011 Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to the Memo Segregation Function
34-64360 Apr. 28, 2011 Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Memo Segregation Function
Comments due:  May 25, 2011

SR-DTC-2011-04
34-64044 Mar. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Dividends Service Guide as it Relates to the Domestic Tax Reporting Service and the U.S. Tax Withholding Service
Comments due:  April 1, 2011

SR-DTC-2011-03
34-63936 Feb. 22, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Providing Participants with a New Optional Settlement Web Interface
Comments due:  March 18, 2011

SR-DTC-2011-02
34-63886 Feb. 10, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to A New Standard to Communicate Corporate Action Events to Participants
Comments due:  March 9, 2011

SR-DTC-2011-01
34-63775 Jan. 26, 2011 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend the Dividends Service Guide
Comments due:  February 23, 2011

 

http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2011.shtml


Modified: 07/20/2012