The Depository Trust Company (DTC) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-90372 | Nov 6, 2020 | SR-DTC-2020-011 | The Depository Trust Company (DTC) | Order Approving a Proposed Rule Change To Amend Rule 4 |
| 34-90203 | Oct 15, 2020 | SR-DTC-2020-012 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Adopt a New Service Guide To Establish the ClaimConnectTM See Also - Exhibit 5 |
| 34-89952 | Sep 22, 2020 | SR-DTC-2020-011 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Amend Rule 4 See Also - Exhibit 5 |
| 34-89361 | Jul 21, 2020 | SR-DTC-2020-010 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Policy on Capital Requirements See Also - Exhibit 5 |
| 34-89269 | Jul 9, 2020 | SR-DTC-2020-009 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Risk Management Framework See Also - Exhibit 5 |
| 34-88911 | May 20, 2020 | SR-NSCC-2020-008, SR-FICC-2020-004, SR-DTC-2020-008 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework |
| 34-88639 | Apr 15, 2020 | SR-DTC-2020-008 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework See Also - Exhibit 5 |
| 34-88513 | Mar 30, 2020 | SR-DTC-2020-007 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy See Also - Exhibit 5 |
| 34-88467 | Mar 25, 2020 | SR-DTC-2020-006 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Operational Arrangements With Respect to Notices Submitted to DTC for Posting to LENS See Also - Exhibit 5 |
| 34-88380 | Mar 13, 2020 | SR-DTC-2020-005 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide To Add Fees Relating to the Provision of Status Information for Institutional Transactions to a Matching Utility See Also - Exhibit 3, Exhibit 5 |