The Depository Trust Company (DTC) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-80489 | Apr 19, 2017 | SR-NSCC-2017-005, SR-FICC-2017-008, SR-DTC-2017-004 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt the Clearing Agency Liquidity Risk Management Framework See Also - Rel. No. 34-82377, Rel. No. 34-81194, Rel. No. 34-80877, Rel. No. 34-80489 |
| 34-80454 | Apr 13, 2017 | SR-DTC-2017-006 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the DTC Rules in Order to Enhance Transparency With Regard to Application Criteria and Participation Requirements for Applicants and Participants See Also - Exhibit 5 |
| 34-80382 | Apr 5, 2017 | SR-DTC-2017-002 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change 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. 34-80734 |
| 34-80280 | Mar 20, 2017 | SR-DTC-2017-001 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Establish a Sub-Account for Use With the DTCC Euroclear Global Collateral Ltd Collateral Management Service and Provide for the Authorization of a Representative To Receive Information About the Sub-Account See Also - Exhibit 5, Rel. No. 34-80598 |
| 34-79764 | Jan 9, 2017 | SR-DTC-2016-008 | The Depository Trust Company (DTC) | Order Granting Approval of Proposed Rule Change Relating To Processing of Transactions in Money Market Instruments See Also - Rel. No. 34-79351, Rel. No. 34-79046 |
| 34-79746 | Jan 5, 2017 | SR-DTC-2016-014 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Update of Its Corporate Action Service for the Processing of Redemptions Events and the Transition to International Organization for Standardization 20022 Messaging for Corporate Action Announcements See Also - Exhibit 5 |
| 34-79528 | Dec 12, 2016 | SR-NSCC-2016-003, SR-FICC-2016-005, SR-DTC-2016-007 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to Clearing Agency Investment Policy See Also - Rel. No. 34-79165, Rel. No. 34-78778 |
| 34-79488 | Dec 6, 2016 | SR-DTC-2016-003 | The Depository Trust Company (DTC) | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers View Received Comments See Also - Rel. No. 34-78774, Rel. No. 34-78379, Rel. No. 34-77991 |
| 34-79351 | Nov 18, 2016 | SR-DTC-2016-008 | The Depository Trust Company (DTC) | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments See Also - Rel. No. 34-79764, Rel. No. 34-79046 |
| 34-79304 | Nov 14, 2016 | SR-DTC-2016-013 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the DTC Settlement Service Guide and Distributions Guide Relating to the Anticipated U.S. Market Transition to a Shortened Settlement Cycle See Also - Exhibit 5 |