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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
Third Quarter |  Second Quarter |  First Quarter

DTC File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-DTC-2016-006
34-78530 Aug. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add a Participants Fund Maintenance Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-DTC-2016-005
34-78520 Aug. 9, 2016 Notice of Filing of Proposed Rule Change Regarding the Implementation of Functionality to Submit a Cover of Protect on Behalf of Another Participant and the Removal of the Option to Cover of Protect Directly with Agent
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-DTC-2016-003
34-78379 Jul. 21, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Pursuant to Which DTC Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers
See also: Notice: Rel. No. 34-77991

SR-DTC-2016-004
34-78358 Jul. 19, 2016 Order Approving Proposed Rule Change to Establish a Link With Euroclear
See also: Notice: Rel. No. 34-78031
Second Quarter

SR-DTC-2016-004
34-78031 Jun. 10, 2016 Notice of Filing of Proposed Rule Change to Establish a Link With Euroclear
Comments due: July 7, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-78358

SR-DTC-2016-003
34-77991 Jun. 3, 2016 Notice of Filing of Proposed Rule Change Pursuant to Which It Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers
Comments due: June 30, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78379
Comments received are available for this proposal.
First Quarter

SR-DTC-2016-002
34-77043 Feb. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Discontinuance of the Facsimile and Hardcopy Delivery Methods of Security Position Reports
Comments due: March 1, 2016
Additional Materials: Exhibit 5

SR-DTC-2015-011
34-76887 Jan. 13, 2016 Order Approving Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
See also: Notice: Rel. No. 34-76510

SR-DTC-2016-001
34-76870 Jan. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Custody Service Guide to Codify Its Current Procedures for Assigning a Value to Custody Service Securities for Shipping Insurance Valuation Purposes
Comments due: February 5, 2016


DTC File Number List for 2016
Release No. Date Details

SR-DTC-2016-006
34-78530 Aug. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add a Participants Fund Maintenance Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-DTC-2016-005
34-78520 Aug. 9, 2016 Notice of Filing of Proposed Rule Change Regarding the Implementation of Functionality to Submit a Cover of Protect on Behalf of Another Participant and the Removal of the Option to Cover of Protect Directly with Agent
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-DTC-2016-004
34-78358 Jul. 19, 2016 Order Approving Proposed Rule Change to Establish a Link With Euroclear
34-78031 Jun. 10, 2016 Notice of Filing of Proposed Rule Change to Establish a Link With Euroclear
Comments due: July 7, 2016
Additional Materials: Exhibit 5

SR-DTC-2016-003
34-78379 Jul. 21, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Pursuant to Which DTC Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers
34-77991 Jun. 3, 2016 Notice of Filing of Proposed Rule Change Pursuant to Which It Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers
Comments due: June 30, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-DTC-2016-002
34-77043 Feb. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Discontinuance of the Facsimile and Hardcopy Delivery Methods of Security Position Reports
Comments due: March 1, 2016
Additional Materials: Exhibit 5

SR-DTC-2016-001
34-76870 Jan. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Custody Service Guide to Codify Its Current Procedures for Assigning a Value to Custody Service Securities for Shipping Insurance Valuation Purposes
Comments due: 21 days after publication in the Federal Register

 

http://www.sec.gov/rules/sro/dtc.shtml


Modified: 08/10/2016