The Depository Trust Company (DTC) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-76510 | Nov 23, 2015 | SR-DTC-2015-011 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks See Also - Exhibit 5 |
| 34-76283 | Oct 27, 2015 | SR-DTC-2015-010 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Additional Details Regarding the Requirement That Participants Participate in Annual Testing of Business Continuity and Disaster Recovery Plans See Also - Exhibit 5 |
| 34-75487 | Jul 20, 2015 | SR-DTC-2015-007 | The Depository Trust Company (DTC) | Order Approving Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System See Also - Rel. No. 34-75094 |
| 34-75463 | Jul 16, 2015 | SR-DTC-2015-008 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Settlement Service Guide To Allow Participants To Elect To Receive Certain New Transactional and Settlement Balance Files and Effect a Related Amendment to the DTC Fee Schedule See Also - Exhibit 5 |
| 34-75380 | Jul 7, 2015 | SR-DTC-2015-003 | The Depository Trust Company (DTC) | Notice of Withdrawal of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks View Received Comments See Also - Rel. No. 34-74830 |
| 34-75094 | Jun 2, 2015 | SR-DTC-2015-007 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System |
| 34-75030 | May 21, 2015 | SR-DTC-2015-006 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That Participants Are Required To Participate in Operational Testing by DTC, Including Testing of DTC's Business Continuity and Disaster Recovery Plans See Also - Exhibit 5 |
| 34-74926 | May 12, 2015 | SR-DTC-2015-005 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Revisions to the DTC Custody Service Guide and the DTC Deposits Service Guide See Also - Exhibit 5 |
| 34-74830 | Apr 29, 2015 | SR-DTC-2015-003 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks View Received Comments See Also - Exhibit 5, Rel. No. 34-75380 |
| 34-74831 | Apr 29, 2015 | SR-DTC-2015-004 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a DTC Custody Service Fee Change See Also - Exhibit 5 |