DTC Rulemaking

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

DTC File Number List for 2017

Additional Archives

Chronological List for 2017

Release No. Date Details
Fourth Quarter
SR-DTC-2017-016
34-82006 Nov. 2, 2017 Order Approving Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework
See also: Notice: Rel. No. 34-81667
Additional File Nos.: SR-NSCC-2017-016, SR-FICC-2017-020
SR-DTC-2017-020
34-81990 Oct. 31, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Special Segregation Account for a Participant or Pledgee that is a Derivatives Clearing Organization or Futures Commission Merchant
Comments due: November 27, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-004
34-81885 Oct. 16, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1 and No. 3, to Adopt the Clearing Agency Liquidity Risk Management Framework
See also: Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80877, Notice: Rel. No. 34-80489
Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008
SR-DTC-2017-005
34-81883 Oct. 16, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
See also: Notice: Rel No. 34-81192, Notice: Rel No. 34-80876, Notice: Rel No. 34-80485
Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006
SR-DTC-2017-018
34-81871 Oct. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Distributions Guide Relating to Announcements and Tax Treatment of Certain Corporate Action Events and to Amend the DTC Fee Schedule
Comments due: November 9, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-019
34-81854 Oct. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate a Surcharge for Eligibility Requests Submitted to DTC Two Days Prior to Closing Date
Comments due: November 7, 2017
Additional Materials: Exhibit 5
Third Quarter
SR-DTC-2017-014
34-81745 Sep. 28, 2017 Order Approving Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
See also: Notice: Rel. No. 34-81338
Additional File Nos.: SR-NSCC-2017-013, SR-FICC-2017-017
SR-DTC-2017-016
34-81667 Sep. 21, 2017 Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework
Comments due: October 18, 2017
See also: Order: Rel. No. 34-82006
Additional File Nos.: SR-NSCC-2017-016, SR-FICC-2017-020
SR-DTC-2017-013
34-81635 Sep. 15, 2017 Order Approving Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
See also: Notice: Rel. No. 34-81248
Additional File Nos.: SR-NSCC-2017-012, SR-FICC-2017-016
SR-DTC-2017-017
34-81554 Sep. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Discount to the Pricing Schedule for Special Requests for Security Position Reports Relating to Municipal Security Issues
Comments due: October 5, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-008
34-81485 Aug. 25, 2017 Order Approving Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
See also: Notice: Rel. No. 34-81074
Additional File Nos.: SR-FICC-2017-014, SR-NSCC-2017-008
SR-DTC-2017-014
34-81338 Aug. 8, 2017 Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
Comments due: September 5, 2017
See also: Notice: Rel. No. 34-81745
Additional File Nos.: SR-FICC-2017-017, SR-NSCC-2017-013
SR-DTC-2017-015
34-81305 Aug. 3, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Effective Date of the Settlement Cycle Rule Changes
Comments due: August 30, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-010
34-81249 Jul. 28, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Operational Arrangements Necessary for Securities to Become and Remain Eligible for DTC Services in Order to Clarify and Update Provisions Relating to the Processing of Eligibility Requests and Servicing of Assets on Deposit at DTC
Comments due: August 23, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-013
34-81248 Jul. 28, 2017 Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
Comments due: August 23, 2017
See also: Order: Rel. No. 34-81635
Additional File Nos.: SR-NSCC-2017-012, SR-FICC-2017-016
SR-DTC-2017-004
34-81194 Jul. 24, 2017 Notice of Filing Amendment No. 2, Notice of Filing Amendment No. 3, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Previously Modified by Amendment No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: August 18, 2017
Rebuttal comments due: September 1, 2017
See also: Notice: Rel. No. 34-80877, Notice: Rel. No. 34-80489
Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008
SR-DTC-2017-005
34-81192 Jul. 24, 2017 Notice of Filing Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: August 14, 2017
Rebuttal comments due:  August 18, 2017
See also: Notice: Rel. No. 34-80876, Notice: Rel. No. 34-80485, Notice: Rel. No. 34-81883
Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006
SR-DTC-2017-003
34-81105 Jul. 7, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
See also: Notice: Rel. No. 34-80878, Notice: Rel. No. 34-80491
Additional File No.: SR-NSCC-2017-004; SR-FICC-2017-007
SR-DTC-2017-012
34-81099 Jul. 7, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide in Order to Enhance the Memo Segregation Function in Connection with Deliveries Processed at DTC Related to the Direct Registration System
Comments due: August 3, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-011
34-81096 Jul. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Agents to Use the Automated Tender Offer Program to Process Consent Solicitations for Book-Entry Only Securities
Comments due: August 3, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Second Quarter
SR-DTC-2017-008
34-81074 Jul. 5, 2017 Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
Comments due: August 1, 2017
See also: order: Rel. No. 34-81485
Additional File Nos.: SR-FICC-2017-014, SR-NSCC-2017-008
SR-DTC-2017-009
34-81001 Jun. 22, 2017 Notice of Filing of Proposed Rule Change To Establish a Swap Margin Segregation Account For the Segregation of Swap Margin With Respect to Deposited Securities
Comments due: July 19, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-003
34-80878 Jun. 7, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
See also: Notice: Rel. No. 34-80491
Additional File No.: SR-NSCC-2017-004; SR-FICC-2017-007
SR-DTC-2017-004
34-80877 Jun. 7, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
See also:  Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80489
Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008
SR-DTC-2017-005
34-80876 Jun. 7, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
See also:  Notice: Rel. No.34-81192, Notice: Rel. No. 34-80485, Notice: Rel. No. 34-81883
Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006
SR-DTC-2017-007
34-80762 May 24, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide to Make Technical Revisions to Clarify and Provide Enhanced Transparency With Respect to the Calculation and Adjustment of Required Participants Fund Deposits
Comments due: June 21, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-002
34-80734 May 19, 2017 Order Approving Proposed Rule Changes to Enhance the Credit Risk Rating Matrix and Make Other Changes
See also: Notice: Rel. No. 34-80382
Additional File Nos.: SR-FICC-2017-006, SR-NSCC-2017-002
SR-DTC-2017-001
34-80598 May 4, 2017 Order Granting Approval of Proposed Rule Change to Establish a Sub-Account for Use with the DTCC Euroclear Global Collateral Ltd Collateral Management Service and Provide for the Authorization of a Representative to Receive Information About the Sub-Account
See also: Notice: Rel. No. 34-80280
SR-DTC-2017-003
34-80491 Apr. 19, 2017 Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: May 16, 2017
See also: Notice: Rel. No. 34-80878
Additional File Nos.: SR-NSCC-2017-004, SR-FICC-2017-007
SR-DTC-2017-004
34-80489 Apr. 19, 2017 Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: May 16, 2017
See also:  Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80877
Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008
SR-DTC-2017-005
34-80485 Apr. 19, 2017 Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: May 16, 2017
See also:  Notice: Rel. No.34-81192, Notice: Rel. No. 34-80876
Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006
SR-DTC-2017-006
34-80454 Apr. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Rules in Order to Enhance Transparency with Regard to Application Criteria and Participation Requirements for Applicants and Participants
Comments due: May 10, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-002
34-80382 Apr. 5, 2017 Notice of Filing of Proposed Rule Change to Address and Update Practices and Policies with Respect to the Credit Risk Rating Matrix and Make Other Changes
Comments due: May 2, 2017
Additional Materials: Exhibit 5
See also:  Notice: Rel. No. 34-80734
First Quarter
SR-DTC-2017-001
34-80280 Mar. 20, 2017 Notice of Filing of Proposed Rule Change to Establish a Sub-Account for Use with the DTCC Euroclear Global Collateral Ltd Collateral Management Service and Provide for the Authorization of a Representative to Receive Information About the Sub-Account
Comments due: April 14, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-80598
SR-DTC-2016-008
34-79764 Jan. 9, 2017 Order Granting Approval of Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments
See also: Notice: Rel. No. 34-79351, Notice: Rel. No. 34-79046
SR-DTC-2016-014
34-79746 Jan. 5, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Update of its Corporate Action Service for the Processing of Redemptions Events and the Transition to International Organization for Standardization 20022 Messaging for Corporate Action Announcements
Comments due: February 1, 2017
Additional Materials: Exhibit 5


DTC File Number List for 2017

Release No. Date Details
SR-DTC-2017-020
34-81990 Oct. 31, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Special Segregation Account for a Participant or Pledgee that is a Derivatives Clearing Organization or Futures Commission Merchant
Comments due: November 27, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-019
34-81854 Oct. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate a Surcharge for Eligibility Requests Submitted to DTC Two Days Prior to Closing Date
Comments due: November 7, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-018
34-81871 Oct. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Distributions Guide Relating to Announcements and Tax Treatment of Certain Corporate Action Events and to Amend the DTC Fee Schedule
Comments due: November 9, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-017
34-81554 Sep. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Discount to the Pricing Schedule for Special Requests for Security Position Reports Relating to Municipal Security Issues
Comments due: October 5, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-016
34-82006 Nov. 2, 2017 Order Approving Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework
Additional File Nos.: SR-NSCC-2017-016, SR-FICC-2017-020
34-81667 Sep. 21, 2017 Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework
Comments due: October 18, 2017
Additional File Nos.: SR-NSCC-2017-016, SR-FICC-2017-020
SR-DTC-2017-015
34-81305 Aug. 3, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Effective Date of the Settlement Cycle Rule Changes
Comments due: August 30, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-014
34-81745 Sep. 28, 2017 Order Approving Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
Additional File Nos.: SR-NSCC-2017-013, SR-FICC-2017-017
34-81338 Aug. 8, 2017 Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
Comments due: September 5, 2017
Additional File Nos.: SR-FICC-2017-017, SR-NSCC-2017-013
SR-DTC-2017-013
34-81635 Sep. 15, 2017 Order Approving Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
Additional File Nos.: SR-NSCC-2017-012, SR-FICC-2017-016
34-81248 Jul. 28, 2017 Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
Comments due: August 23, 2017
Additional File Nos.: SR-NSCC-2017-012, SR-FICC-2017-016
SR-DTC-2017-012
34-81099 Jul. 7, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide in Order to Enhance the Memo Segregation Function in Connection with Deliveries Processed at DTC Related to the Direct Registration System
Comments due: August 3, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-011
34-81096 Jul. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Agents to Use the Automated Tender Offer Program to Process Consent Solicitations for Book-Entry Only Securities
Comments due: August 3, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-DTC-2017-010
34-81249 Jul. 28, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Operational Arrangements Necessary for Securities to Become and Remain Eligible for DTC Services in Order to Clarify and Update Provisions Relating to the Processing of Eligibility Requests and Servicing of Assets on Deposit at DTC
Comments due: August 23, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-009
34-81001 Jun. 22, 2017 Notice of Filing of Proposed Rule Change To Establish a Swap Margin Segregation Account For the Segregation of Swap Margin With Respect to Deposited Securities
Comments due: July 19, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-008
34-81485 Aug. 25, 2017 Order Approving Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
Additional File Nos.: SR-FICC-2017-014, SR-NSCC-2017-008
34-81074 Jul. 5, 2017 Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
Comments due: August 1, 2017
Additional File Nos.: SR-FICC-2017-014, SR-NSCC-2017-008
SR-DTC-2017-007
34-80762 May 24, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide to Make Technical Revisions to Clarify and Provide Enhanced Transparency With Respect to the Calculation and Adjustment of Required Participants Fund Deposits
Comments due: June 21, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-006
34-80454 Apr. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Rules in Order to Enhance Transparency with Regard to Application Criteria and Participation Requirements for Applicants and Participants
Comments due: May 10, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-005
34-81883 Oct. 16, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
See also: Notice: Rel. No. 34-81192
34-81192 Jul. 24, 2017 Notice of Filing Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due:  August 14, 2017
Rebuttal comments due:  August 18, 2017
See also: Notice: Rel. No. 34-80876, Notice: Rel. No. 34-80485
Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006
34-80876 Jun. 7, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006
34-80485 Apr. 19, 2017 Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: May 16, 2017
Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006
SR-DTC-2017-004
34-81885 Oct. 16, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1 and No. 3, to Adopt the Clearing Agency Liquidity Risk Management Framework
See also: Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80877, Notice: Rel. No. 34-80489
Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008
34-81194 Jul. 24, 2017 Notice of Filing Amendment No. 2, Notice of Filing Amendment No. 3, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Previously Modified by Amendment No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: August 18, 2017
Rebuttal comments due:  September 1, 2017
See also: Notice: Rel. No. 34-80877, Notice: Rel. No. 34-80489
Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008
34-80877 Jun. 7, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008
34-80489 Apr. 19, 2017 Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: May 16, 2017
Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008
SR-DTC-2017-003
34-81105 Jul. 7, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Additional File No.: SR-NSCC-2017-004; SR-FICC-2017-007
34-80878 Jun. 7, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Additional File No.: SR-NSCC-2017-004; SR-FICC-2017-007
34-80491 Apr. 19, 2017 Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: May 16, 2017
Additional File Nos.: SR-NSCC-2017-004, SR-FICC-2017-007
SR-DTC-2017-002
34-80734 May 19, 2017 Order Approving Proposed Rule Changes to Enhance the Credit Risk Rating Matrix and Make Other Changes
34-80382 Apr. 5, 2017 Notice of Filing of Proposed Rule Change to Address and Update Practices and Policies with Respect to the Credit Risk Rating Matrix and Make Other Changes
Comments due: May 2, 2017
Additional Materials: Exhibit 5
SR-DTC-2017-001
34-80598 May 4, 2017 Order Granting Approval of Proposed Rule Change to Establish a Sub-Account for Use with the DTCC Euroclear Global Collateral Ltd Collateral Management Service and Provide for the Authorization of a Representative to Receive Information About the Sub-Account
34-80280 Mar. 20, 2017 Notice of Filing of Proposed Rule Change to Establish a Sub-Account for Use with the DTCC Euroclear Global Collateral Ltd Collateral Management Service and Provide for the Authorization of a Representative to Receive Information About the Sub-Account
Comments due: April 14, 2017
Additional Materials: Exhibit 5