The Depository Trust Company (DTC) Rulemaking
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Self-Regulatory Organization Rulemaking Table
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File Number
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SRO Organization
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Details
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|---|---|---|---|---|
| Release Number:34-98490 | SEC Issue Date:Sep 22, 2023 | File Number:SR-DTC-2023-009 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule to Amend the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) See Also - Exhibit 5 Submit a Comment on SR-DTC-2023-009
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| Release Number:34-98330 | SEC Issue Date:Sep 8, 2023 | File Number:SR-DTC-2023-008 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Recovery and Wind-down Plan Comments Due: 21 days after date of publication in the Federal Register. See Also - Exhibit 5 |
| Release Number:34-97948 | SEC Issue Date:Jul 19, 2023 | File Number:SR-DTC-2023-007 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Distributions Guide, Redemptions Guide, Reorganizations Guide, and Operational Arrangements, Relating to the Compensation Claims Process Comments Due: August 15, 2023 See Also - Exhibit 5 |
| Release Number:34-97891 | SEC Issue Date:Jul 13, 2023 | File Number:SR-DTC-2023-006 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework Comments Due: August 9, 2023 See Also - Exhibit 5 |
| Release Number:34-97595 | SEC Issue Date:May 25, 2023 | File Number:SR-DTC-2023-005 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Investment Policy Comments Due: June 22, 2023 View Received Comments See Also - Exhibit 5 |
| Release Number:34-97284 | SEC Issue Date:Apr 11, 2023 | File Number:SR-DTC-2023-003 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the Clearing Agency Securities Valuation Framework Comments Due: May 8, 2023 View Received Comments See Also - Exhibit 5 |
| Release Number:34-97250 | SEC Issue Date:Apr 4, 2023 | File Number:SR-DTC-2023-004 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Administrative Updates to DTC's Rules, Organization Certificate, and Certain Service Guides Comments Due: May 1, 2023 See Also - Exhibit 5 |
| Release Number:34-97009 | SEC Issue Date:Mar 1, 2023 | File Number:SR-DTC-2023-002 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Operational Arrangements Comments Due: March 28, 2023 View Received Comments See Also - Exhibit 3, Exhibit 5 |
| Release Number:34-96799 | SEC Issue Date:Feb 3, 2023 | File Number:SR-DTC-2023-001 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework Comments Due: March 2, 2023 View Received Comments See Also - Exhibit 5 |
| Release Number:34-96586 | SEC Issue Date:Dec 27, 2022 | File Number:SR-DTC-2022-014 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Guide Comments Due: January 24, 2023 See Also - Exhibit 3, Exhibit 5 |