DTC Advance Notice Rulemaking

We encourage the public to submit comments on the following The Depository Trust Company (DTC) 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.

Chronological List
Third Quarter |  First Quarter

DTC File Number List for 2018

Additional Archives

Chronological List for 2018

Release No. Date Details
Third Quarter
SR-DTC-2017-803
34-83953 Aug. 27, 2018 Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, to Adopt a Recovery & Wind-down Plan and Related Rules
SR-DTC-2017-804
34-83950 Aug. 27, 2018 Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, to Amend the Loss Allocation Rules and Make Other Changes
SR-DTC-2017-804
34-83746 Jul. 31, 2018 Notice of Filing of Amendment No. 1 to an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes
Comments due: August 21, 2018
Additional Materials: Exhibit 4, Exhibit 5
See also: Commission's Request for Additional Information and Response to the Commission's Request for Additional Information
Comments received are available for this proposal.
SR-DTC-2017-803
34-83743 Jul. 31, 2018 Notice of Filing of Amendment No. 1 to an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: August 21, 2018
Additional Materials: Exhibit 4, Exhibit 5a, Exhibit 5b
See also: Commission's Request for Additional Information and Response to the Commission's Request for Additional Information
Comments received are available for this proposal.
First Quarter
SR-DTC-2017-804
34-82582 Jan. 24, 2018 Notice of Filing and Extension of the Review Period of an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes
Comments due: February 14, 2018
Additional Materials: Exhibit 5
See also: Commission's Request for Additional Information and Response to the Commission's Request for Additional Information
Comments received are available for this proposal.
SR-DTC-2017-803
34-82579 Jan. 24, 2018 Notice of Filing and Extension of the Review Period of an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: February 14, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
See also: Commission's Request for Additional Information and Response to the Commission's Request for Additional Information
Comments received are available for this proposal.

DTC-AN File Number List for 2018

Release No. Date Details

There are no file number entries at this time.