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.

Chronological List
Second Quarter |  First Quarter

The Depository Trust Company (DTC) File Number List for 2021

Additional Archives

Chronological List for 2021

(Search any column)
Release No. Date Details
Second Quarter
SR-DTC-2021-007
34-91736 Apr. 30, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to update the DTC Corporate Actions Distributions Service Guide
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-DTC-2021-006
34-91635 Apr. 22, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the Security Holder Tracking Service
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-DTC-2021-002
34-91587 Apr. 16, 2021 Order Approving Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Additional File Nos.: SR-FICC-2021-001, SR-NSCC-2021-003
First Quarter
SR-DTC-2021-004
34-91429 Mar. 29, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Recovery & Wind-down Plan
Comments due: April 23, 2021
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-DTC-2021-003
34-91336 Mar. 16, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the Requirement for Participants to Submit Monthly Position Confirmations and Clarify Participant Obligation to Reconcile Activity on a Regular Basis
Comments due: April 12, 2021
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-DTC-2021-002
34-91291 Mar. 10, 2021 Notice of Filing of a Proposed Rule Change to Revise the Clearing Agency Investment Policy
Comments due: April 6, 2021
SR-DTC-2021-001
34-91098 Feb. 10, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add New Fees for DTC's Money Market Instrument Program
Comments due: March 10, 2021
Additional Materials: Exhibit 5
SR-DTC-2020-019
34-91063 Feb. 4, 2021 Order Approving a Proposed Rule Change to Update the Distributions Service Guide
SR-DTC-2020-017
34-90895 Jan. 11, 2021 Order Approving a Proposed Rule Change to Allow for the Deposit of Electronic Certificates of Deposit and Technical Changes

File Number List for 2021

Release No. Date Details
SR-DTC-2021-007
34-91736 Apr. 30, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to update the DTC Corporate Actions Distributions Service Guide
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-DTC-2021-006
34-91635 Apr. 22, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the Security Holder Tracking Service
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-DTC-2021-004
34-91429 Mar. 29, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Recovery & Wind-down Plan
Comments due: April 23, 2021
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-DTC-2021-003
34-91336 Mar. 16, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the Requirement for Participants to Submit Monthly Position Confirmations and Clarify Participant Obligation to Reconcile Activity on a Regular Basis
Comments due: April 12, 2021
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-DTC-2021-002
34-91587 Apr. 16, 2021 Order Approving Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Additional File Nos.: SR-FICC-2021-001, SR-NSCC-2021-003
34-91291 Mar. 10, 2021 Notice of Filing of a Proposed Rule Change to Revise the Clearing Agency Investment Policy
Comments due: April 6, 2021
SR-DTC-2021-001
34-91098 Feb. 10, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add New Fees for DTC's Money Market Instrument Program
Comments due: March 10, 2021
Additional Materials: Exhibit 5