DTC Rulemaking

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Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

DTC File Number List for 2018

Additional Archives

Chronological List for 2018

Release No. Date Details
Fourth Quarter
SR-DTC-2018-011
34-84768 Dec. 10, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Guide to the DTC Fee Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-DTC-2018-010
34-84751 Dec. 7, 2018 Notice of Filing of a Proposed Rule Change to Amend the Settlement Guide Procedures to Provide Status Information for Institutional Transactions to a Matching Utility
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-DTC-2018-009
34-84458 Oct. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Frameworks
Comments due: November 15, 2018
Additional File Nos.: SR-FICC-2018-010, SR-NSCC-2018-009
SR-DTC-2018-008
34-84426 Oct. 15, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: November 9, 2018
Third Quarter
SR-DTC-2017-021
34-83972 Aug. 28, 2018 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Recovery & Wind-down Plan and Related Rules
SR-DTC-2017-022
34-83969 Aug. 28, 2018 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Loss Allocation Rules and Make Other Changes
SR-DTC-2018-006
34-83940 Aug. 24, 2018 Order Granting Approval of Proposed Rule Change to Amend Rule 35 to Provide for Designated Accounts for Use With Designated Collateral Management Service Providers
SR-DTC-2018-007
34-83871 Aug. 17, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Process of the Reduction of Dividend or Interest Payments to a Participant on Treasury Shares or Repurchased Debt Securities
Comments due: September 13, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-DTC-2018-004
34-83712 Jul. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Clarifying Changes and Updates to the DTC Underwriting Service Guide
Comments due: August 22, 2018
Additional Materials: Exhibit 5
SR-DTC-2018-006
34-83667 Jul. 18, 2018 Notice of Filing of Proposed Rule Change to Amend Rule 35 to Provide for Designated Accounts for Use With Designated Collateral Management Service Providers
Comments due: August 14, 2018
Additional Materials: Exhibit 5
SR-DTC-2017-022
34-83629 Jul. 13, 2018 Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: August 3, 2018
Additional Materials: Exhibit 4, Exhibit 5
Comments received are available for this proposal.
SR-DTC-2017-021
34-83628 Jul. 13, 2018 Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: August 3, 2018
Additional Materials: Exhibit 4, Exhibit 5a, Exhibit 5b
Comments received are available for this proposal.
Second Quarter
SR-DTC-2018-002
34-83544 Jun. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rules and Fee Schedule Relating to Participant and Pledgee Applications
Comments due: July 24, 2018
Additional Materials: Exhibit 5
SR-DTC-2018-005
34-83511 Jun. 25, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Operational Arrangements to Add Clarifying Text Relating to the Processing of Unit Investment Trust Securities through the DTC Investor's Voluntary Redemptions and Sales Service
Comments due: July 20, 2018
Additional Materials: Exhibit 5
SR-DTC-2017-022
34-83510 Jun. 25, 2018 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Loss Allocation Rules and Make Other Changes
Additional File Nos.: SR-FICC-2017-022, SR-NSCC-2017-018
Comments received are available for this proposal.
SR-DTC-2017-021
34-83509 Jun. 25, 2018 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Recovery & Wind-down Plan and Related Rules
Additional File Nos.: SR-FICC-2017-021, SR-NSCC-2017-017
Comments received are available for this proposal.
SR-DTC-2018-003
34-83058 Apr. 17, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Redemptions Service Guide and the DTC Reorganizations Service Guide to Add Clarifying Text Relating to the Processing of MMI Securities
Comments due: May 14, 2018
Additional Materials: Exhibit 5
First Quarter
SR-DTC-2018-001
34-82915 Mar. 20, 2018 Order Approving Proposed Rule Change to Amend the By-Laws
SR-DTC-2017-021
34-82912 Mar. 20, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: April 16, 2018
Rebuttal comments due: April 30, 2018
Comments received are available for this proposal.
SR-DTC-2017-022
34-82914 Mar. 20, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: April 16, 2018
Rebuttal comments due: April 30, 2018
Comments received are available for this proposal.
SR-DTC-2017-022
34-83510 Jun. 25, 2018 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Loss Allocation Rules and Make Other Changes
Additional File Nos.: SR-FICC-2017-022, SR-NSCC-2017-018
Comments received are available for this proposal.
SR-DTC-2017-021
34-82669 Feb. 8, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt a Recovery & Wind-down Plan and Related Rules
Additional File Nos.: SR-FICC-2017-021, SR-NSCC-2017-017
Comments received are available for this proposal.
SR-DTC-2018-001
34-82671 Feb. 8, 2018 Notice of Filing of Proposed Rule Change to Amend the By-Laws
Comments due: March 7, 2018
Additional Materials: Exhibit 5
SR-DTC-2017-023
34-82663 Feb. 8, 2018 Order Approving Proposed Rule Change to Restore the Timeframe for Processing Credit Post-Payable Adjustments
SR-DTC-2017-024
34-82662 Feb. 8, 2018 Order Approving Proposed Rule Change to Amend Procedures in the DTC Settlement Service Guide Relating to the Intra-Month Collection of Required Participants Fund Deposits
SR-DTC-2017-024
34-82434 Jan. 3, 2018 Notice of Filing of Proposed Rule Change to Amend Procedures in the DTC Settlement Service Guide Relating to the Intra-Month Collection of Required Participants Fund Deposits
Comments due:  January 30, 2018
Additional Materials: Exhibit 5
SR-DTC-2017-023
34-82433 Jan. 2, 2018 Notice of Filing of a Proposed Rule Change to Restore the Timeframe for Processing Credit Post-Payable Adjustments
Comments due:  January 29, 2018
Additional Materials: Exhibit 5
SR-DTC-2017-021
34-82432 Jan. 2, 2018 Notice of Filing of a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due:  January 29, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
Comments received are available for this proposal.
SR-DTC-2017-022
34-82426 Jan. 2, 2018 Notice of Filing of a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due:  January 29, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.


DTC File Number List for 2018

Release No. Date Details
SR-DTC-2018-011
34-84768 Dec. 10, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Guide to the DTC Fee Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-DTC-2018-010
34-84751 Dec. 7, 2018 Notice of Filing of a Proposed Rule Change to Amend the Settlement Guide Procedures to Provide Status Information for Institutional Transactions to a Matching Utility
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-DTC-2018-009
34-84458 Oct. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Frameworks
Comments due: November 15, 2018
Additional File Nos.: SR-FICC-2018-010, SR-NSCC-2018-009
SR-DTC-2018-008
34-84426 Oct. 15, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: November 9, 2018
SR-DTC-2018-007
34-83871 Aug. 17, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Process of the Reduction of Dividend or Interest Payments to a Participant on Treasury Shares or Repurchased Debt Securities
Comments due: September 13, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-DTC-2018-006
34-83940 Aug. 24, 2018 Order Granting Approval of Proposed Rule Change to Amend Rule 35 to Provide for Designated Accounts for Use With Designated Collateral Management Service Providers
34-83667 Jul. 18, 2018 Notice of Filing of Proposed Rule Change to Amend Rule 35 to Provide for Designated Accounts for Use With Designated Collateral Management Service Providers
Comments due: August 14, 2018
Additional Materials: Exhibit 5
SR-DTC-2018-004
34-83712 Jul. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Clarifying Changes and Updates to the DTC Underwriting Service Guide
Comments due: August 22, 2018
Additional Materials: Exhibit 5
SR-DTC-2018-005
34-83511 Jun. 25, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Operational Arrangements to Add Clarifying Text Relating to the Processing of Unit Investment Trust Securities through the DTC Investor's Voluntary Redemptions and Sales Service
Comments due: July 20, 2018
Additional Materials: Exhibit 5
SR-DTC-2018-003
34-83058 Apr. 17, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Redemptions Service Guide and the DTC Reorganizations Service Guide to Add Clarifying Text Relating to the Processing of MMI Securities
Comments due: May 14, 2018
Additional Materials: Exhibit 5
SR-DTC-2018-002
34-83544 Jun. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rules and Fee Schedule Relating to Participant and Pledgee Applications
Comments due: July 24, 2018
Additional Materials: Exhibit 5
SR-DTC-2018-001
34-82915 Mar. 20, 2018 Order Approving Proposed Rule Change to Amend the By-Laws
34-82671 Feb. 8, 2018 Notice of Filing of Proposed Rule Change to Amend the By-Laws
Comments due: March 7, 2018
Additional Materials: Exhibit 5