SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


DTC Rulemaking Archive: 2007

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 2007

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-DTC-2007-15
34-57071 Dec. 31, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Stock Loan and Repurchase Processing
Comments due:  January 28, 2008

SR-DTC-2007-06
34-56863 Nov. 29, 2007 Notice of Filing of Proposed Rule Change to Amend the Hearing Procedures Afforded to an Interested Person and Harmonize Them with Similar Rules of its Affiliates
Comments due:  December 21, 2007
See also:  Order: Rel. No. 34-57406

SR-DTC-2007-13
34-56840 Nov. 27, 2007 Notice of Filing of a Proposed Rule Change Relating to the Foreign Currency Payment Option
Comments due:  December 24, 2007
See also:  Orders: Rel. Nos. 34-57298A and 34-57298

SR-DTC-2007-11
34-56795 Nov. 15, 2007 Notice of Filing of Proposed Rule Change to Amend its Operational Arrangements as it Applies to Structured Securities
Comments due:  December 11, 2007
See also:  Order: Rel. No. 34-57542; Notice: Rel. No. 34-57283
Comments received are available for this notice.
* Submit comments on SR-DTC-2007-11

SR-DTC-2007-12
34-56706 Oct. 26, 2007 Notice of Filing of a Proposed Rule Change Relating to DTC Opening an Omnibus Account at Euroclear Bank
Comments due:  November 23, 2007
See also:  Order: Rel. No. 34-58055
Comments received are available for this notice.
Third Quarter

SR-DTC-2007-10
34-56552 Sep. 27, 2007 Notice of Filing of Proposed Rule Change to Implement the New Issue Information Dissemination Service for Municipal Securities
Comments due:  October 18, 2007
* Submit comments on SR-DTC-2007-10

SR-DTC-2007-09
34-56538 Sep. 26, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise its Procedures with Respect to Processing of Certain Voluntary Events in its Reorganization Service and Clarifying Legal Considerations Set Forth in its Procedures Relating to Usage of Information Obtained by Participants
Comments due:  October 24, 2007

SR-DTC-2007-04
34-56277 Aug. 17, 2007 Order Granting Approval of a Proposed Rule Change Relating to a Policy Statement on the Eligibility of Foreign Securities
See also:  Notice: Rel. No. 34-55940
Comments received are available for this notice.

SR-DTC-2007-08
34-56126 Jul. 24, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the National Settlement Service
Comments due:  August 22, 2007
Second Quarter

SR-DTC-2007-04
34-55940 Jun. 21, 2007 Notice of Filing of a Proposed Rule Change Relating to a Policy Statement on the Eligibility of Foreign Securities
Comments due:  July 19, 2007
See also:  Order: Rel. No. 34-56277
Comments received are available for this notice.

SR-DTC-2006-20
34-55829 May 30, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify DTC’s Fee Schedule
Comments due:  June 26, 2007

SR-DTC-2006-16
34-55816 May 25, 2007 Notice of Filing of Proposed Rule Change Amending FAST and DRS Limited Participant Requirements for Transfer Agents
Comments due:  June 22, 2007
See also:  Notices: Rel. Nos. 34-57959 and 34-57362 Order: 34-60196
Comments received are available for this notice.
First Quarter

SR-DTC-2007-02
34-55488 Mar. 19, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Charged to the CDS Clearing and Depository Services, Inc.
Comments due:  April 13, 2007

SR-DTC-2007-03
34-55390 Mar. 2, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New York Governing Law
Comments due:  March 30, 2007
Comments received are available for this notice.

SR-DTC-2006-07
34-55365 Feb. 27, 2007 Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Participant
See also:  Notice: Rel. No. 34-54927

SR-DTC-2006-21
34-55306 Feb. 15, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fee in Connection with Its Offering of a Mechanism by which It Collects and Passes-Through Fees Owed by Participants to American Depositary Receipt Agents for Certain Issues
Comments due:  March 16, 2007
Comments received are available for this notice.

SR-DTC-2006-15
34-55239 Feb. 5, 2007 Order Granting Approval of a Proposed Rule Change Relating to the Canadian Link Service
See also:  Notice: Rel. No. 34-54855

SR-DTC-2006-19
34-55098 Jan. 12, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Enhancements To Its SMART/Track For Corporate Action Liability Notification Service
Comments due:  February 9, 2007

SR-DTC-2006-17
34-55058 Jan. 8, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding the Security Holder Report Service to the Security Position Report Service
Comments due:  February 6, 2007


File Number List

Release No. Date Details

SR-DTC-2007-17
34-57193 Jan. 24, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fee Schedule
Comments due:  February 20, 2008

SR-DTC-2007-16
34-58345 Aug. 12, 2008 Order Granting Approval of a Proposed Rule Change Relating to the Admission of Foreign Entities as Direct Depository Participants
34-57392 Feb. 27, 2008 Notice of Filing of a Proposed Rule Change Relating to the Admission of Foreign Entities as Direct Depository Participants
Comments due:  March 28, 2008

SR-DTC-2007-15
34-57071 Dec. 31, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Stock Loan and Repurchase Processing
Comments due:  January 28, 2008

SR-DTC-2007-14
34-57901 Jun. 2, 2008 Order Approving Proposed Rule Changes, as amended, to Provide for the Settlement of Institutional Transactions in Conjunction with Each Other Through a Service Called ID Net
Additional File No.:  SR-NSCC-2007-14
34-57573 Mar. 27, 2008 Notice of Filing of Proposed Rule Changes, as amended, to Provide for the Settlement of Institutional Transactions in Conjunction with Each Other Through a Service Called ID Net
Additional File No.:  SR-NSCC-2007-14
Comments due:  21 days after publication in the Federal Register

SR-DTC-2007-13
34-57298A Feb. 8, 2008 Order Granting Approval of a Proposed Rule Change Relating to the Foreign Currency Payment Option [CORRECTION]
34-57298 Feb. 8, 2008 Order Granting Approval of a Proposed Rule Change Relating to the Foreign Currency Payment Option
34-56840 Nov. 27, 2007 Notice of Filing of a Proposed Rule Change Relating to the Foreign Currency Payment Option
Comments due:  December 24, 2007

SR-DTC-2007-12
34-58055 Jun. 27, 2007 Order Granting Approval of a Proposed Rule Change Relating to DTC Opening an Omnibus Account at Euroclear Bank
34-56706 Oct. 26, 2007 Notice of Filing of a Proposed Rule Change Relating to DTC Opening an Omnibus Account at Euroclear Bank
Comments due:  November 23, 2007
Comments received are available for this notice.

SR-DTC-2007-11
34-57542 Mar. 20, 2008 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Amend its Operational Arrangements as it Applies to Structured Securities
34-57283 Feb. 6, 2008 Notice of Filing of Amendment No. 1 to Proposed Rule Change to Amend its Operational Arrangements as it Applies to Structured Securities
Comments due:  March 5, 2008
Comments received are available for this notice.
34-56795 Nov. 15, 2007 Notice of Filing of Proposed Rule Change to Amend its Operational Arrangements as it Applies to Structured Securities
Comments due:  December 11, 2007
Comments received are available for this notice.

SR-DTC-2007-10
34-57768 May 2, 2008 Order Granting Accelerated Approval of an Amended Proposed Rule Change to Implement the New Issue Information Dissemination Service for Municipal Securities
34-57647 Apr. 10, 2008 Notice of Filing of Amended Proposed Rule Change to Implement the New Issue Information Dissemination Service for Municipal Securities
Comments due:  May 1, 2008
* Submit comments on SR-DTC-2007-10
34-57513 Mar. 17, 2008 Notice of Filing of Amended Proposed Rule Change to Implement the New Issue Information Dissemination Service for Municipal Securities
Comments due:  April 8, 2008
34-56552 Sep. 27, 2007 Notice of Filing of Proposed Rule Change to Implement the New Issue Information Dissemination Service for Municipal Securities
Comments due:  October 18, 2007

SR-DTC-2007-09
34-56538 Sep. 26, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise its Procedures with Respect to Processing of Certain Voluntary Events in its Reorganization Service and Clarifying Legal Considerations Set Forth in its Procedures Relating to Usage of Information Obtained by Participants
Comments due:  October 24, 2007

SR-DTC-2007-08
34-56126 Jul. 24, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the National Settlement Service
Comments due:  August 22, 2007

SR-DTC-2007-07
34-59035 Dec. 1, 2008 Order Approving Proposed Rule Change to Amend the Applicant Disqualification Criteria Contained in its Rules
34-58122 Jul. 9, 2008 Notice of Filing of Proposed Rule Change to Amend the Applicant Disqualification Criteria Contained in its Rules
Comments due:  August 6, 2008

SR-DTC-2007-06
34-57406 Feb. 29, 2008 Order Approving Proposed Rule Change to Modify the Hearing Procedures Afforded to Interested Persons for Membership and Harmonize Them with Similar Rules of its Affiliates
34-56863 Nov. 29, 2007 Notice of Filing of Proposed Rule Change to Amend the Hearing Procedures Afforded to an Interested Person and Harmonize Them with Similar Rules of its Affiliates
Comments due:  December 21, 2007

SR-DTC-2007-05
34-58157 Jul. 15, 2008 Order Approving a Proposed Rule Change Relating to Harmonizing Fines with the National Securities Clearing Corporation and the Fixed Income Clearing Corporation
34-57665 Apr. 15, 2008 Notice of Filing of Proposed Rule Change to Restructure its Rules Relating to Fines and to Harmonize Them with Similar Rules of its Affiliates
Comments due:  May 13, 2008

SR-DTC-2007-04
34-56277 Aug. 17, 2007 Order Granting Approval of a Proposed Rule Change Relating to a Policy Statement on the Eligibility of Foreign Securities
34-55940 Jun. 21, 2007 Notice of Filing of a Proposed Rule Change Relating to a Policy Statement on the Eligibility of Foreign Securities
Comments due:  July 19, 2007
Comments received are available for this notice.

SR-DTC-2007-03
34-55390 Mar. 2, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New York Governing Law
Comments due:  March 30, 2007
Comments received are available for this notice.

SR-DTC-2007-02
34-55488 Mar. 19, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Charged to the CDS Clearing and Depository Services, Inc.
Comments due:  April 13, 2007

 

http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2007.shtml


Modified: 07/08/2009