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 descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-102218 | Jan 16, 2025 | SR-DTC-2025-001 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend and Restate the Second Amended and Restated Netting Contract and Limited Cross-Guaranty between NSCC and DTC Comments Due: February 13, 2025 See Also - Rule19b-4 Information, Exhibit 3, Exhibit 5 Submit a Comment on SR-DTC-2025-001
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| 34-102076 | Jan 2, 2025 | SR-DTC-2024-016 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Settlement Service Guide Comments Due: January 29, 2025 See Also - Exhibit 5, Rule 19b-4 Information |
| 34-101964 | Dec 18, 2024 | SR-DTC-2024-015 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to DTC's New Issue Information Dissemination Service to Unwind a Prior Rule Filing and Provide a More Accurate Description of the Service Comments Due: January 16, 2025 See Also - Exhibit 5 |
| 34-101946 | Dec 17, 2024 | SR-DTC-2024-014 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Clearing Agency Operational Risk Management Framework Comments Due: January 13, 2025 See Also - Exhibit 5 |
| 34-101945 | Dec 17, 2024 | SR-DTC-2024-012 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the ClaimConnect™ Service Guide Comments Due: January 13, 2025 See Also - Exhibit 5 |
| 34-101923 | Dec 16, 2024 | SR-DTC-2024-013 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Guide to the DTC Fee Schedule to Revise Certain Fees Charged to Participants for Settlement Services Comments Due: January 10, 2025 See Also - Exhibit 5, Exhibit 3 |
| 34-101883 | Dec 11, 2024 | SR-DTC-2024-011 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change to Amend the Clearing Agency Investment Policy See Also - Exhibit 5 |
| 34-101764 | Nov 26, 2024 | SR-DTC-2024-009, SR-FICC-2024-010, SR-NSCC-2024-006 | The Depository Trust Company (DTC), Fixed Income Clearing Corporation (FICC), National Securities Clearing Corporation | Order Approving Proposed Rule Change to Adopt the Clearing Agency Framework for Certain Requirements on Governance and Conflicts of Interest |
| 34-101685 | Nov 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 Approving Proposed Rule Change to Amend the Clearing Agency Risk Management Framework View Received Comments |
| 34-101486 | Oct 31, 2024 | The Depository Trust Company (DTC) | Order Approving of Proposed Rule Change to Decommission the ID Net Service |