The Depository Trust Company (DTC) Rulemaking
We encourage the public to submit comments on the following 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.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-100842 | Aug 27, 2024 | SR-DTC-2024-009 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change to Adopt the Clearing Agency Framework for Certain Requirements on Governance and Conflicts of Interest Comments Due: 21 days after publication in the Federal Register. See Also - Exhibit 3, Exhibit 5 Submit a Comment on SR-DTC-2024-009
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| 34-100838 | Aug 27, 2024 | SR-DTC-2024-007 | The Depository Trust Company (DTC) | Notice of Withdrawal of a Proposed Rule Change to Modify the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) |
| 34-100813 | Aug 23, 2024 | SR-DTC-2024-008 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) Comments Due: 21 days after date of publication in the Federal Register. See Also - Exhibit 5 |
| 34-100637 | Aug 1, 2024 | SR-DTC-2024-007 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) View Received Comments See Also - Exhibit 5 |
| 34-100581 | Jul 23, 2024 | SR-DTC-2024-006 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the DTC Corporate Actions Distributions Service Guide Comments Due: August 19, 2024 See Also - Exhibit 5 |
| 34-100532 | Jul 15, 2024 | SR-DTC-2024-005 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Guide to the DTC Fee Schedule Comments Due: August 9, 2024 See Also - Exhibit 5 |
| 34-100400 | Jun 21, 2024 | SR-DTC-2024-003, SR-FICC-2024-006, SR-NSCC-2024-003 | The Depository Trust Company (DTC), Fixed Income Clearing Corporation (FICC), National Securities Clearing Corporation | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Clearing Agency Risk Management Framework Comments Due: 21 days after publication in the Federal Register. Rebuttal Comments should be submitted 35 days after date of publication in the Federal Register. |
| 34-100076 | May 8, 2024 | SR-DTC-2024-003 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Clearing Agency Risk Management Framework Comments Due: July 18, 2024 Rebuttal comments: August 1, 2024 |
| 34-99911 | Apr 5, 2024 | SR-DTC-2024-004 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the Deposits Service Guide and the Operational Arrangements Comments Due: May 2, 2024 View Received Comments See Also - Exhibit 5 |
| 34-99843 | Mar 22, 2024 | SR-DTC-2024-002 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Corporate Actions Distributions Service Guide and the DTC Settlement Service Guide Comments Due: April 18, 2024 See Also - Exhibit 5 |