Comments on DTC Rulemaking

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
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

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Date Received
Date Letter Type Release Number Commenter Name
Public Comment 34-71745 Jan Harris
Public Comment 34-71745 William Ferguson, Carlton Huxley Ltd.
Public Comment 34-71745 Suzanne H. Shatto, Mountlake Terrace, Washington
Public Comment 34-71745 Isaac Montal, Managing Director Deputy General Counsel, DTCC, New York, New York
Public Comment 34-71745 Daniel Zwiren, President and CEO, and Edward Petraglia, General Counsel, Optigenex Inc.
Public Comment 34-71745 Harvey J. Kesner, Gary M. Emmanuel, and Matthew P. Canini, Sichenzia Ross Friedman Ference LLP
Public Comment 34-71745 Isaac Montal, Managing Director Deputy General Counsel, DTCC, New York, New York
Public Comment 34-71745 Charles V. Rossi, Chairman, STA Board Advisory Committee, The Securities Transfer Association, Inc.
Public Comment 34-71745 Daniel Zwiren, President and CEO, and Edward Petraglia, General Counsel, Optigenex Inc.
Public Comment 34-71745 Louis A. Brilleman
Public Comment 34-71745 Susanne Trimbath, PhD, MBA, Chief Executive Manager, STP Advisory Services, LLC, Omaha, Nebraska
Public Comment 34-71132 DTCC BigBake
Public Comment 34-71132 Isaac Montal, Managing Director and Deputy General Counsel, DTCC, New York, New York
Public Comment 34-71132 Gary Emmanuel and Harvey Kesner, Sichenzia Ross Friedman Ference LLP, New York, New York
Public Comment 34-71132 Isaac Montal, Managing Director Deputy General Counsel, DTCC, New York, New York
Public Comment 34-71132 Charles V. Rossi, Chairman, STA Board Advisory Committee, The Securities Transfer Association, Inc., Hazlet, New Jersey
Public Comment 34-71132 Gary Emmanuel and Harvey Kesner, Sichenzia Ross Friedman Ference LLP, New York, New York
Public Comment 34-71132 Louis Brilleman, New York, New York
Public Comment 34-71132 John J. Petrofsky, Director and Associate Counsel, The Depository Trust Company
Public Comment 34-71132 Brenda Hamilton, Hamilton & Associates Law Group P.A.
Public Comment 34-71132 DTCC BigBake
Public Comment 34-71132 Simon S. Kogan, Esq., Staten Island, New York
Public Comment 34-71132 Suzanne H. Shatto, Mountlake Terrace, Washington

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-DTC-2013-11
Release Number
34-71745
34-71132
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