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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
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

DTC File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-DTC-2016-003
34-79488 Dec. 6, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers
See also: Notice: Rel. No. 34-78774, Notice: Rel. No. 34-78379, Notice: Rel. No. 34-77991

SR-DTC-2016-008
34-79351 Nov. 18, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments
See also: Notice: Rel. No. 34-79046

SR-DTC-2016-013
34-79304 Nov. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide and Distributions Guide Relating to the Anticipated U.S. Market Transition to a Shortened Settlement Cycle
Comments due: December 9, 2016
Additional Materials: Exhibit 5

SR-DTC-2016-012
34-79297 Nov. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide With Respect to Settlement Instructions Provided to DTC by Matching Utilities
Comments due: December 9, 2016
Additional Materials: Exhibit 5

SR-DTC-2016-011
34-79252 Nov. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow DTC to Automate the Process for Participants to Submit Eligibility Requests for the DTC Custody Service
Comments due: December 5, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-DTC-2016-007
34-79165 Oct. 26, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearing Agency Investment Policy
Additional File Nos.: SR-FICC-2016-005, SR-NSCC-2016-003
See also: Notice: Rel. No. 34-78778

SR-DTC-2016-010
34-79122 Oct. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow DTC to Automate the Process for Participants to Submit Eligibility Requests for Older Issues
Comments due: November 15, 2016
Additional Materials: Exhibit 5

SR-DTC-2016-009
34-79088 Oct. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify Certain Rules Provisions Relating to Pledges
Comments due:  November 8, 2016
Additional Materials: Exhibit 5

SR-DTC-2016-008
34-79046 Oct. 5, 2016 Notice of Filing of Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments
Comments due: November 1, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-79351
Third Quarter

SR-DTC-2016-005
34-78935 Sep. 26, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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:  October 21, 2016
See also: Notice: Rel. No. 34-78520

SR-DTC-2016-007
34-78778 Sep. 7, 2016 Notice of Filing of Proposed Rule Changes Relating to Clearing Agency Investment Policy
Comments due:  October 4, 2016
Additional File Nos.: SR-FICC-2016-005, SR-NSCC-2016-003
See also: Notice: Rel. No. 34-79165

SR-DTC-2016-003
34-78774 Sep. 6, 2016 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers
Comments due:  October 3, 2016
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Order: Rel. No. 34-79488, Notice: Rel. No. 34-78379, Notice: Rel. No. 34-77991

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: September 6, 2016
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: September 6, 2016
Additional Materials: Exhibit 5
See also: Notice/Order: Rel. No. 34-78935

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: Order: Rel. No. 34-79488, Notice: Rel. No. 34-78774, 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: Order: Rel. No. 34-79488, Notice: Rel. No. 34-78774, 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
34-79252
Release No. Date Details

SR-DTC-2016-013
34-79304 Nov. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide and Distributions Guide Relating to the Anticipated U.S. Market Transition to a Shortened Settlement Cycle
Comments due: December 9, 2016
Additional Materials: Exhibit 5

SR-DTC-2016-012
34-79297 Nov. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide With Respect to Settlement Instructions Provided to DTC by Matching Utilities
Comments due: December 9, 2016
Additional Materials: Exhibit 5

SR-DTC-2016-011
34-79252 Nov. 7, 2016Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow DTC to Automate the Process for Participants to Submit Eligibility Requests for the DTC Custody Service
Comments due: December 5, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-DTC-2016-010
34-79122 Oct. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow DTC to Automate the Process for Participants to Submit Eligibility Requests for Older Issues
Comments due: November 15, 2016
Additional Materials: Exhibit 5

SR-DTC-2016-009
34-79088 Oct. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify Certain Rules Provisions Relating to Pledges
Comments due:  November 8, 2016
Additional Materials: Exhibit 5

SR-DTC-2016-008
34-79351 Nov. 18, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments
34-79046 Oct. 5, 2016 Notice of Filing of Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments
Comments due: November 1, 2016
Additional Materials: Exhibit 5

SR-DTC-2016-007
34-79165 Oct. 26, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearing Agency Investment Policy
Additional File Nos.: SR-FICC-2016-005, SR-NSCC-2016-003
34-78778 Sep. 7, 2016 Notice of Filing of Proposed Rule Changes Relating to Clearing Agency Investment Policy
Comments due:  October 4, 2016
Additional File Nos.: SR-FICC-2016-005, SR-NSCC-2016-003

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: September 6, 2016
Additional Materials: Exhibit 5

SR-DTC-2016-005
34-78935 Sep. 26, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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:  October 21, 2016
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: September 6, 2016
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
34-79488 Dec. 6, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers
34-78774 Sep. 6, 2016 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers
Comments due:  October 3, 2016
Rebuttal comments due: 35 days after publication in the Federal Register
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: 12/07/2016