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DTC Rulemaking Archive: 2013

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 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-DTC-2013-12
34-71206 Dec. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Fee Schedule of The Depository Trust Company with Respect to its Underwriting Service
Comments due: January 27, 2014

SR-DTC-2013-11
34-71132 Dec. 18, 2013 Notice of Filing of Proposed Rule Change to specify procedures available to issuers of securities deposited at DTC for book entry services when DTC imposes or intends to impose restrictions on the further deposit and/or book entry transfer of those securities
Comments due: January 14, 2014
See also: Notice: Rel. No. 34-72391, Notice: Rel. No. 34-71745
Comments received are available for this proposal.

SR-DTC-2013-10
34-70675 Oct. 11, 2013 Order Approving Proposed Rule Change to Terminate the Sealed Envelope Service, Which is Part of The Depository Trust Company's Custody Service
See also:  Notice: Rel. No. 34-70291
Third Quarter

SR-DTC-2013-10
34-70291 Aug. 30, 2013 Notice of Filing of Proposed Rule Change In Order to Terminate the Sealed Envelope Service, Which is Part of The Depository Trust Company's Custody Service
Comments due: September 26, 2013
Comments received are available for this proposal.
See also:  Order: Rel. No. 34-70675

SR-DTC-2013-09
34-70198 Aug. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Special Procedures for Securities Offered Pursuant to Regulation S, Category 3, under the Securities Act of 1933
Comments due: September 10, 2013

SR-DTC-2013-04
34-69985 Jul. 12, 2013 Order Approving Proposed Rule Change in Connection with the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
See also:  Notice: Rel. No. 34-69666
Second Quarter

SR-DTC-2013-07
34-69866 Jun. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize and Clarify Language Within the DTC Service Guides Regarding Restrictions on Use of Information and Data Distributed by DTC
Comments due: July 24, 2013
Additional Materials:   Exhibit 5

SR-DTC-2013-08
34-69864 Jun. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a Fee Associated With the Expansion of DTC's Ability to Collect and Pass Through Fees Owed by Participants to American Depositary Receipt Agents
Comments due: July 24, 2013
Additional Materials:   Exhibit 5

SR-DTC-2013-03
34-69741 Jun. 12, 2013 Order Approving Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
See also:  Notice: Rel. No. 34-69494

SR-DTC-2013-04
34-69666 May 30, 2013 Notice of Filing of Proposed Rule Change in Connection with the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-69985

SR-DTC-2013-06
34-69597 May 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise DTC's Fees Related to Certain Corporate Action Events
Comments due: June 12, 2013
Additional Materials:  Exhibit 5

SR-DTC-2013-01
34-69562 May 13, 2013 Order Approving Proposed Rule Change to Modify Its Practice Regarding the Collection of Participants' Required Participants Fund Deposits
See also:  Notice: Rel. No. 34-69276

SR-DTC-2013-03
34-69494 May 2, 2013 Notice of Filing of Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
Comments due: May 29, 2013
See also:  Notice: Rel. No. 34-69741

SR-DTC-2013-01
34-69276 Apr. 2, 2013 Notice of Filing of Proposed Rule Change to Modify Its Practice Regarding the Collection of Participants' Required Participants Fund Deposits
Comments due: April 29, 2013
See also:  Order: Rel. No. 34-69562
First Quarter

SR-DTC-2012-10
34-68983 Feb. 25, 2013 Notice of Filing Amendment No. 2 and Order Approving Proposed Rule Change, as Modified by Amendment No. 2, to Reduce Liquidity Risk Relating to Its Processing of Maturity and Income Presentments and Issuances of Money Market Instruments
See also:  Notice: Rel. No. 34-68834 and  Notice: Rel. No. 34-68548

SR-DTC-2012-10
34-68834 Feb. 5, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Reduce Liquidity Risk Relating to Its Processing of Maturity and Income Presentments and Issuances of Money Market Instruments
See also:  Notice: Rel. No. 34-68548

SR-DTC-2012-11
34-68594 Jan. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Fee Schedule with Respect to Settlement and Asset Services
Comments due: February 1, 2013


DTC File Number List for 2013

Release No. Date Details

SR-DTC-2013-12
34-71206 Dec. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Fee Schedule of The Depository Trust Company with Respect to its Underwriting Service
Comments due: January 27, 2014

SR-DTC-2013-11
34-72391 Jun. 13, 2014 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether the Approve or Disapprove Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends to Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities
34-71745 Mar. 19, 2014 Notice of Filing Amendment Nos. 1 and 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends to Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities
Comments due: April 15, 2014
Rebuttal comments due: April 29, 2014
34-71132 Dec. 18, 2013 Notice of Filing of Proposed Rule Change to specify procedures available to issuers of securities deposited at DTC for book entry services when DTC imposes or intends to impose restrictions on the further deposit and/or book entry transfer of those securities
Comments due: January 14, 2014
Comments received are available for this proposal.

SR-DTC-2013-10
34-70675 Oct. 11, 2013 Order Approving Proposed Rule Change to Terminate the Sealed Envelope Service, Which is Part of The Depository Trust Company's Custody Service
See also:  Notice: Rel. No. 34-70291
34-70291 Aug. 30, 2013 Notice of Filing of Proposed Rule Change In Order to Terminate the Sealed Envelope Service, Which is Part of The Depository Trust Company's Custody Service
Comments due: September 26, 2013
Comments received are available for this proposal.

SR-DTC-2013-09
34-70198 Aug. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Special Procedures for Securities Offered Pursuant to Regulation S, Category 3, under the Securities Act of 1933
Comments due: September 10, 2013

SR-DTC-2013-08
34-69864 Jun. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a Fee Associated With the Expansion of DTC's Ability to Collect and Pass Through Fees Owed by Participants to American Depositary Receipt Agents
Comments due: July 24, 2013
Additional Materials:   Exhibit 5

SR-DTC-2013-07
34-69866 Jun. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize and Clarify Language Within the DTC Service Guides Regarding Restrictions on Use of Information and Data Distributed by DTC
Comments due: July 24, 2013
Additional Materials:   Exhibit 5

SR-DTC-2013-06
34-69597 May 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise DTC's Fees Related to Certain Corporate Action Events
Comments due: June 12, 2013
Additional Materials:  Exhibit 5

SR-DTC-2013-04
34-69985 Jul. 12, 2013 Order Approving Proposed Rule Change in Connection with the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
See also:  Notice: Rel. No. 34-69666
34-69666 May 30, 2013 Notice of Filing of Proposed Rule Change in Connection with the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-69985

SR-DTC-2013-03
34-69741 Jun. 12, 2013 Order Approving Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
See also:  Notice: Rel. No. 34-69494
34-69494 May 2, 2013 Notice of Filing of Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
Comments due: May 29, 2013

SR-DTC-2013-01
34-69562 May 13, 2013 Order Approving Proposed Rule Change to Modify Its Practice Regarding the Collection of Participants' Required Participants Fund Deposits
34-69276 Apr. 2, 2013 Notice of Filing of Proposed Rule Change to Modify Its Practice Regarding the Collection of Participants' Required Participants Fund Deposits
Comments due: April 29, 2013

 

http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2013.shtml


Modified: 06/16/2014