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 |
|---|---|---|---|---|
| 34-101923 | Dec 16, 2024 | SR-DTC-2024-013 | The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Guide to the DTC Fee Schedule to Revise Certain Fees Charged to Participants for Settlement Services Comments Due: January 10, 2025 See Also - Exhibit 5, Exhibit 3 Submit a Comment on SR-DTC-2024-013
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| 34-101883 | Dec 11, 2024 | SR-DTC-2024-011 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change to Amend the Clearing Agency Investment Policy See Also - Exhibit 5 |
| 34-101764 | Nov 26, 2024 | SR-DTC-2024-009, SR-FICC-2024-010, SR-NSCC-2024-006 | The Depository Trust Company (DTC), Fixed Income Clearing Corporation (FICC), National Securities Clearing Corporation | Order Approving Proposed Rule Change to Adopt the Clearing Agency Framework for Certain Requirements on Governance and Conflicts of Interest |
| 34-101685 | Nov 21, 2024 | SR-DTC-2024-003, SR-FICC-2024-006, SR-NSCC-2024-003 | The Depository Trust Company (DTC), Fixed Income Clearing Corporation (FICC), National Securities Clearing Corporation | Order Approving Proposed Rule Change to Amend the Clearing Agency Risk Management Framework View Received Comments |
| 34-101486 | Oct 31, 2024 | The Depository Trust Company (DTC) | Order Approving of Proposed Rule Change to Decommission the ID Net Service |
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| 34-101345 | Oct 15, 2024 | SR-DTC-2024-009 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt the Clearing Agency Framework for Certain Requirements on Governance and Conflicts of Interest. |
| 34-101132 | Sep 23, 2024 | SR-DTC-2024-010 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change to Decommission the ID Net Service See Also - Exhibit 5 |
| 34-101083 | Sep 18, 2024 | SR-DTC-2024-003 | The Depository Trust Company (DTC) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Clearing Agency Risk Management Framework View Received Comments |
| 34-100842 | Aug 27, 2024 | SR-DTC-2024-009 | The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Change to Adopt the Clearing Agency Framework for Certain Requirements on Governance and Conflicts of Interest See Also - Exhibit 3, Exhibit 5 |
| 34-100838 | Aug 27, 2024 | SR-DTC-2024-007 | The Depository Trust Company (DTC) | Notice of Withdrawal of a Proposed Rule Change to Modify the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) Comments Due: August 28, 2024 |