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 2022

Additional Archives

Chronological List for 2022

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Release No. Date Details
Second Quarter
SR-DTC-2021-017
34-95143 Jun. 23, 2022 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Enhance Capital Requirements and Make Other Changes
SR-DTC-2022-006
34-95080 Jun. 9, 2022 Notice of Filing of Proposed Rule Change to Amend the Stress Testing Framework and Liquidity Risk Management Framework
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 3, Exhibit 5a and 5b
Comments received are available for this proposal.
SR-DTC-2022-005
34-95017 Jun. 1, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Certain Fees Charged to Applicants
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-DTC-2022-002
34-95012 May 31, 2022 Order Approving the Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
SR-DTC-2022-004
34-94975 May 24, 2022 Notice of Filing of a Proposed Rule Change to Require Applicants and Members to Maintain or Upgrade Their Network or Communications Technology
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-DTC-2022-003
34-94726 Apr. 14, 2022 Notice of Filing of and Immediate Effectiveness of Proposed Rule Change to Amend the Reorganizations Service Guide and the Operational Arrangements
Comments due: May 11, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-DTC-2022-002
34-94692 Apr. 12, 2022 Notice of Filing of a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
Comments due: May 9, 2022
Additional Materials: Exhibit 5
First Quarter
SR-DTC-2021-014
34-94538 Mar. 29, 2022 Notice of Withdrawal of a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
SR-DTC-2021-017
34-94495 Mar. 23, 2022 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Enhance Capital Requirements and Make Other Changes
Comments due: April 20, 2022
Rebuttal comments due: May 4, 2022
Comments received are available for this proposal.
SR-DTC-2022-001
34-94273 Feb. 17, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework
Comments due: March 17, 2022
Comments received are available for this proposal.
SR-DTC-2021-014
34-94167 Feb. 7, 2022 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
SR-DTC-2021-017
34-94067 Jan. 26, 2022 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Enhance Capital Requirements and Make Other Changes

File Number List for 2022

Release No. Date Details
SR-DTC-2022-006
34-95080 Jun. 9, 2022 Notice of Filing of Proposed Rule Change to Amend the Stress Testing Framework and Liquidity Risk Management Framework
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 3, Exhibit 5a and 5b
Comments received are available for this proposal.
SR-DTC-2022-005
34-95017 Jun. 1, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Certain Fees Charged to Applicants
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-DTC-2022-004
34-94975 May 24, 2022 Notice of Filing of a Proposed Rule Change to Require Applicants and Members to Maintain or Upgrade Their Network or Communications Technology
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-DTC-2022-003
34-94726 Apr. 14, 2022 Notice of Filing of and Immediate Effectiveness of Proposed Rule Change to Amend the Reorganizations Service Guide and the Operational Arrangements
Comments due: May 11, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-DTC-2022-002
34-95012 May 31, 2022 Order Approving the Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
34-94692 Apr. 12, 2022 Notice of Filing of a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
Comments due: May 9, 2022
Additional Materials: Exhibit 5
SR-DTC-2022-001
34-94273 Feb. 17, 2022 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework
Comments due: March 17, 2022
Comments received are available for this proposal.