DTC 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
Second Quarter |  First Quarter

DTC File Number List for 2018

Additional Archives

Chronological List for 2018

Release No. Date Details
SecondQuarter
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
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
SR-DTC-2017-022
34-82670 Feb. 8, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Amend the Loss Allocation Rules and Make Other Changes
Additional File Nos.: SR-FICC-2017-022, SR-NSCC-2017-018
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
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
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


DTC File Number List for 2018

Release No. Date Details
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-2018-001
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