The Depository Trust Company (DTC) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-71499 | Feb 6, 2014 | SR-DTC-2014-01 | The Depository Trust Company (DTC) | Notice of Filing and Order of Accelerated Approval of Proposed Rule Change To Amend the Depository Trust Company Settlement Service Guide To Lower the Amount of the Maximum Net Debit Cap for an Affiliated Family of Participants and Make Other Related Changes See Also - Exhibit 5 |
| 34-71206 | Dec 30, 2013 | SR-DTC-2013-12 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Fee Schedule of the Depository Trust Company With Respect to Its Underwriting Service |
| 34-71132 | Dec 18, 2013 | SR-DTC-2013-11 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change To Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends To Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities View Received Comments See Also - Rel. No. 34-72860, Rel. No. 34-72391, Rel. No. 34-71745 |
| 34-70675 | Oct 11, 2013 | SR-DTC-2013-10 | The Depository Trust Company (DTC) | Order Approving Proposed Rule Change To Terminate the Sealed Envelope Service, Which Is Part of The Depository Trust Company's Custody Service View Received Comments See Also - Rel. No. 34-70291 |
| 34-70291 | Aug 30, 2013 | SR-DTC-2013-10 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change in Order To Terminate the Sealed Envelope Service, Which Is Part of The Depository Trust Company's Custody Service View Received Comments See Also - Rel. No. 34-70675 |
| 34-70198 | Aug 14, 2013 | SR-DTC-2013-09 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Special Procedures for Securities Offered Pursuant to Regulation S, Category 3, Under the Securities Act of 1933 |
| 34-69985 | Jul 12, 2013 | SR-DTC-2013-04 | The Depository Trust Company (DTC) | Order Approving Proposed Rule Change in Connection With the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction See Also - Rel. No. 34-69666 |
| 34-69866 | Jun 27, 2013 | SR-DTC-2013-07 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize and Clarify Language Within the DTC Service Guides Regarding Restrictions on Use of Information and Data Distributed by DTC See Also - Exhibit 5 |
| 34-69864 | Jun 26, 2013 | SR-DTC-2013-08 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement a Fee Associated With the Expansion of DTC's Ability To Collect and Pass Through Fees Owed by Participants to American Depositary Receipt Agents See Also - Exhibit 5 |
| 34-69741 | Jun 12, 2013 | SR-DTC-2013-03 | The Depository Trust Company (DTC) | Order Approving Proposed Rule Change in Connection With the Implementation of The Foreign Account Tax Compliance Act (FATCA) See Also - Rel. No. 34-69494 |