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 |
|---|---|---|---|---|
| 34-104095 | Sep 26, 2025 | SR-DTC-2025-015 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Underwriting Service Guide and Operational Arrangements Comments Due: 21 days after date of publication in the Federal Register. See Also - Exhibit 5 Submit a Comment on SR-DTC-2025-015
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| 34-104096 | Sep 26, 2025 | SR-DTC-2025-013 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Amend DTC Rule 18 (Waiver or Suspension of Rules and Procedures) Comments Due: 21 days after date of publication in the Federal Register. See Also - Exhibit 5 |
| 34-104039 | Sep 24, 2025 | SR-DTC-2025-014 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decommission the Initial Public Offering Tracking System Comments Due: October 20, 2025 See Also - Exhibit 3, Exhibit 5 |
| 34-104008 | Sep 22, 2025 | SR-DTC-2025-003, SR-FICC-2025-006, SR-NSCC-2025-003 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, Relating to a Participant System Disruption View Received Comments |
| 34-103978 | Sep 16, 2025 | SR-DTC-2025-012 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Changes Relating to DTC’s Contact Phone Numbers and Web Pages Comments Due: October 10, 2025 See Also - Exhibit 5 |
| 34-103495 | Jul 17, 2025 | SR-DTC-2025-011 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Settlement Service Guide Relating to Wire Instructions Comments Due: August 12, 2025 See Also - Exhibit 5 |
| 34-103398 | Jul 7, 2025 | SR-DTC-2025-010 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Settlement Service Guide to Make a Technical Change Relating to DTC’s Memo Segregation Function and to Update DTC’s Mailing Address Comments Due: July 31, 2025 See Also - Exhibit 5 |
| 34-103310 | Jun 24, 2025 | SR-DTC-2025-003 | 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, Regarding Proposed Rule Change Relating to a Participant System Disruption View Received Comments See Also - Exhibit 4, Exhibit 5 |
| 34-103253 | Jun 13, 2025 | SR-DTC-2025-006, SR-FICC-2025-009, SR-NSCC-2025-006 | The Depository Trust Company (DTC) | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Update the Clearing Agency Securities Valuation Framework to Include Use of Substantive Inputs Comments Due: July 9, 2025 View Received Comments |
| 34-103221 | Jun 10, 2025 | SR-DTC-2025-007, SR-FICC-2025-010, SR-NSCC-2025-007 | The Depository Trust Company (DTC), Fixed Income Clearing Corporation (FICC), National Securities Clearing Corporation | Order Approving a Proposed Rule Changes to Amend the Recovery and Wind-down Plan to Satisfy the Requirements of Exchange Act Rule 17ad-26 |