The Depository Trust Company (DTC-AN) 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 descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-83743 | Jul 31, 2018 | SR-DTC-2017-803 | The Depository Trust Company (DTC-AN) | Notice of Filing of Amendment No. 1 to an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules View Received Comments See Also - Exhibit 4, Exhibit 5a, Exhibit 5b, Commission's Request for Additional Information, Response to the Commission's Request for Additional Information |
| 34-82582 | Jan 24, 2018 | SR-DTC-2017-804 | The Depository Trust Company (DTC-AN) | Notice of Filing and Extension of the Review Period of an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes View Received Comments See Also - Exhibit 5, Commission's Request for Additional Information, Commission's Request for Additional Information |
| 34-82579 | Jan 24, 2018 | SR-DTC-2017-803 | The Depository Trust Company (DTC-AN) | Notice of Filing and Extension of the Review Period of an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules View Received Comments See Also - Exhibit 5a, Exhibit 5b, Commission's Request for Additional Information, Response to the Commission's Request for Additional Information |
| 34-80731 | May 19, 2017 | SR-NSCC-2017-801, SR-FICC-2017-804, SR-DTC-2017-801 | National Securities Clearing Corporation (NSCC-AN), Fixed Income Clearing Corporation (FICC-AN), The Depository Trust Company (DTC-AN) | Notice of No Objection to Advance Notices to Enhance the Credit Risk Rating Matrix and Make Other Changes See Also - Rel. No. 34-80394, Release No. 34-80395, Rel. No. 34-80396 |
| 34-80605 | May 5, 2017 | SR-NSCC-2017-802, SR-DTC-2017-802 | The Depository Trust Company (DTC-AN), National Securities Clearing Corporation (NSCC-AN) | Notice of Filing of and No Objection to Advance Notices, as Modified by Amendments No. 1, to Renew the Credit Facility See Also - Rel. No. 34-80731 |
| 34-80394 | Apr 7, 2017 | SR-DTC-2017-801 | The Depository Trust Company (DTC-AN) | Notice of Filing of Advance Notice to Address and Update Practices and Policies with Respect to the Credit Risk Rating Matrix and Make Other Changes See Also - Exhibit 5, Rel. No. 34-80731 |
| 34-79763 | Jan 9, 2017 | SR-DTC-2016-802 | The Depository Trust Company (DTC-AN) | Notice of No Objection to Advance Notice Filing Relating to Processing of Transactions in Money Market Instruments See Also - Rel. No. 34-79224 |
| 34-79224 | Nov 3, 2016 | SR-DTC-2016-802 | The Depository Trust Company (DTC-AN) | Notice of Filing of and Extension of Review Period of Advance Notice Relating to Processing of Transactions in Money Market Instruments See Also - Exhibit 5, Rel. No. 34-79763 |
| 34-77750 | Apr 29, 2016 | SR-NSCC-2016-801, SR-DTC-2016-801 | The Depository Trust Company (DTC-AN), National Securities Clearing Corporation (NSCC-AN) | Notice of Filing of and No Objection to Advance Notices to Renew the Credit Facility |
| 34-74906 | May 7, 2015 | SR-NSCC-2015-801, SR-DTC-2015-801 | The Depository Trust Company (DTC-AN), National Securities Clearing Corporation (NSCC-AN) | Notice of Filing and No Objection to Advance Notices Relating to the Renewal of Existing Line of Credit |