The Depository Trust Company (DTC) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 |
| 34-79252 | Nov 7, 2016 | SR-DTC-2016-011 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow DTC To Automate the Process for Participants To Submit Eligibility Requests for the DTC Custody Service View Received Comments See Also - Exhibit 5 |
| 34-79165 | Oct 26, 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 Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearing Agency Investment Policy See Also - Rel. No. 34-79528, Rel. No. 34-78778 |
| 34-79122 | Oct 19, 2016 | SR-DTC-2016-010 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow DTC To Automate the Process for Participants To Submit Eligibility Requests for Older Issues See Also - Exhibit 5 |
| 34-79088 | Oct 12, 2016 | SR-DTC-2016-009 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify Certain Rules Provisions Relating to Pledges See Also - Exhibit 5 |
| 34-79046 | Oct 5, 2016 | SR-DTC-2016-008 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments See Also - Exhibit 5, Rel. No. 34-79764, Rel. No. 34-79351 |
| 34-78935 | Sep 26, 2016 | SR-DTC-2016-005 | The Depository Trust Company (DTC) | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Implementation of Functionality To Submit a Cover of Protect on Behalf of Another Participant and the Removal of the Option To Cover of Protect Directly With Agent See Also - Rel. No. 34-78520 |
| 34-78778 | Sep 7, 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 Proposed Rule Changes Relating to Clearing Agency Investment Policy See Also - Rel. No. 34-79528, Rel. No. 34-79165 |
| 34-78774 | Sep 6, 2016 | SR-DTC-2016-003 | The Depository Trust Company (DTC) | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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. 34-79488, Rel. No. 34-78379, Rel. No. 34-77991 |
| 34-78530 | Aug 10, 2016 | SR-DTC-2016-006 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Participants Fund Maintenance Fee See Also - Exhibit 5 |