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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
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
| 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.
|
| 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
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http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2011.shtml
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