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DTC Rulemaking Archive: 2008
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 2008
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-DTC-2008-12 |
|
34-59148 |
Dec. 23, 2008 |
Order Approving Proposed Rule Change As Amended to Increase Liquidity Resources
See also:
Notice: Rel. No. 34-58757A
|
SR-DTC-2008-11 |
|
34-59102 |
Dec. 15, 2008 |
Order Approving a Proposed Rule Change to Implement a New Service to Allow Issuers to Track and Limit the Number of Beneficial Owners for an Individual CUSIP
See also:
Notice: Rel. No. 34-58436
|
SR-DTC-2008-13 |
|
34-59088 |
Dec. 11, 2008 |
Notice of Filing of Proposed Rule Change by The Depository Trust Company Relating to Eliminating the SRO Requirement as a Condition of DTC-Eligibility for Securities that are Eligible for Resale under Rule 144A under the Securities Act of 1933
Comments due: January 7, 2009
See also:
Order: Rel. No. 34-59384
|
SR-DTC-2007-07 |
|
34-59035 |
Dec. 1, 2008 |
Order Approving Proposed Rule Change to Amend the Applicant Disqualification Criteria Contained in its Rules
See also: Notice:
Rel. No. 34-58122
|
SR-DTC-2008-08 |
|
34-59033 |
Dec. 1, 2008 |
Order Granting Approval of a Proposed Rule Change to Eliminate the Ability to Obtain a Physical Certificate from DTC for Issues That are Eligible and Participating in the Direct Registration System
See also:
Notice: Rel. No. 34-58404
|
SR-DTC-2008-09 |
|
34-58944 |
Nov. 13, 2008 |
Order Granting Approval of a Proposed Rule Change to Expand DTC's Debit Cap Look-Ahead Processing
See also:
Notice: Rel. No. 34-58730
|
SR-DTC-2008-07 |
|
34-58910 |
Nov. 6, 2008 |
Order Granting Approval of a Proposed Rule Change to Implement Processing Enhancements to the Profile Modification System Used in the Direct Registration System
See also:
Notice: Rel. No. 34-58292
|
SR-DTC-2008-12 |
|
34-58757A |
Oct. 14, 2008 |
Notice of Filing of Proposed Rule Change As Amended to Increase Liquidity Resources [Corrected to Conform to Federal Register Version]
Comments due: November 12, 2008
See also:
Order: Rel. No. 34-59148
|
SR-DTC-2008-09 |
|
34-58730 |
Oct. 3, 2008 |
Notice of Filing of a Proposed Rule Change to Expand DTC's Debit Cap Look-Ahead Processing
Comments due: October 30, 2008
See also:
Order: Rel. No. 34-58944
|
| Third Quarter |
SR-DTC-2008-11 |
|
34-58436 |
Aug. 27, 2008 |
Notice of Filing of a Proposed Rule Change to Implement a New Service to Allow Issuers to Track and Limit the Number of Beneficial Owners for an Individual CUSIP
Comments due: September 26, 2008
See also:
Order: Rel. No. 34-59102
Comments received
are available
for this notice.
|
SR-DTC-2008-10 |
|
34-58407 |
Aug. 21, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Changes to the Collateral Loan System
Comments due: September 17, 2008
|
SR-DTC-2008-08 |
|
34-58404 |
Aug. 21, 2008 |
Notice of Filing of Proposed Rule Change to Eliminate the Ability to Obtain a Physical Certificate from DTC for Issues That are Eligible and Participating in the Direct Registration System
Comments due: September 23, 2008
See also:
Order: Rel. No. 34-59033
Comments received
are available
for this notice.
|
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
See also:
Notice: Rel. No. 34-57392
|
SR-DTC-2008-06 |
|
34-58343 |
Aug. 12, 2008 |
Notice of Filing of Proposed Rule Change As Amended to Modify End of Day Settlement Procedures Relating to Settlement Acknowledgement Cut-off Time Frames for Settling Banks
Comments due: September 8, 2008
See also:
Order: Rel. No. 34-59386
|
SR-DTC-2008-07 |
|
34-58292 |
Aug. 1, 2008 |
Notice of Filing of Proposed Rule Change to Implement Processing Enhancements to the Profile Modification System Used in the Direct Registration System
Comments due: September 2, 2008
See also:
Order: Rel. No. 34-58910
|
SR-DTC-2008-05 |
|
34-58252 |
Jul. 30, 2008 |
Notice of Filing of a Proposed Rule Change Relating to Establishing a New Money Market Instrument Procedure Disincentive Fee
Comments due: August 28, 2008
Comments received
are available
for this notice.
|
SR-DTC-2008-03 |
|
34-58165 |
Jul. 15, 2008 |
Notice of Filing of Proposed Rule Change to Establish a Fee Relating to DTC's Settlement Procedures for the Maturity of Money Market Instruments with Unknown Rates
Comments due: August 12, 2008
Comments received
are available
for this notice.
|
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
See also:
Notice: Rel. No. 34-57665
|
SR-DTC-2007-07 |
|
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
See also:
Order: Rel. No. 34-59035
|
| Second Quarter |
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
See also:
Notice: Rel. No. 34-56706
|
SR-DTC-2008-04 |
|
34-58042 |
Jun. 26, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule to Establish an Alternate Choice in DTC Profile Surety Providers
Comments due: 21 days after publication in the Federal Register
|
SR-DTC-2008-02 |
|
34-58044 |
Jun. 26, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Deposits Service Guide
Comments due: July 23, 2008
|
SR-DTC-2006-16 |
|
34-57959 |
Jun. 12, 2008 |
Notice of Filing of Proposed Rule Change of Amended Proposed Rule Change Amending FAST and DRS Limited Participant Requirements for Transfer Agents
Comments due: July 10, 2008
See also: Notices: Rel. Nos.
34-57362,
34-55816
and Order:
34-60196
Comments received
are available
for this notice.
|
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
See also:
Notice: Rel. No. 34-57573
|
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
See also: Notices: Rel. Nos.
34-57513;
34-56552;
34-57647
|
SR-DTC-2007-05 |
|
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
See also:
Order: Rel. No. 34-58157
|
SR-DTC-2007-10 |
|
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
See also: Notices: Rel. Nos.
34-57513;
34-56552; Order: Rel. No.
34-57768
|
| First Quarter |
SR-DTC-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
See also:
Order: Rel. No. 34-57901
|
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
See also: Notices: Rel. Nos.
34-57283,
34-56795
|
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
See also: Notices: Rel. Nos.
34-57647;
34-56552
|
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
See also:
Notice: Rel. No. 34-56863
|
SR-DTC-2007-16 |
|
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
See also:
Order: Rel. No. 34-58345
|
SR-DTC-2008-01 |
|
34-57366 |
Feb. 21, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Deliver Order Input Cutoff Window
Comments due: March 20, 2008
|
SR-DTC-2006-16 |
|
34-57362 |
Feb. 20, 2008 |
Notice of Filing of Amended Proposed Rule Change Amending FAST and DRS Limited Participant Requirements for Transfer Agents
Comments due: March 20, 2008
See also: Notices: Rel. Nos.
34-57959,
34-55816
and
Order
|
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]
See also:
Order: Rel. No. 34-57298;
Notice: Rel. No. 34-56840
|
SR-DTC-2007-13 |
|
34-57298 |
Feb. 8, 2008 |
Order Granting Approval of a Proposed Rule Change Relating to the Foreign Currency Payment Option
See also:
Order: Rel. No. 34-57298A;
Notice: Rel. No. 34-56840
|
SR-DTC-2007-11 |
|
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
See also:
Order: Rel. No. 34-57542;
Notice: Rel. No. 34-56795
Comments received
are available
for this notice.
|
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
|
| Release No. |
Date |
Details |
SR-DTC-2008-15 |
|
34-59298 |
Jan. 26, 2009 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Provide The Options Clearing Corporation with Settlement Services for Stock Loan Transactions Entered Into Under the Market Loan Program
Comments due: February 20, 2009
|
SR-DTC-2008-14 |
|
34-59199 |
Jan. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Existing Operational Arrangements
Comments due: February 2, 2009
Comments received
are available
for this notice.
|
SR-DTC-2008-13 |
|
34-59384 |
Feb. 11, 2009 |
Order Approving a Proposed Rule Change Relating to Eliminating the SRO Requirement as a Condition of DTC-Eligibility for Securities that are Eligible for Resale under Rule 144A under the Securities Act of 1933
|
|
34-59088 |
Dec. 11, 2008 |
Notice of Filing of Proposed Rule Change by The Depository Trust Company Relating to Eliminating the SRO Requirement as a Condition of DTC-Eligibility for Securities that are Eligible for Resale under Rule 144A under the Securities Act of 1933
Comments due: January 7, 2009
|
SR-DTC-2008-12 |
|
34-59148 |
Dec. 23, 2008 |
Order Approving Proposed Rule Change As Amended to Increase Liquidity Resources
|
|
34-58757A |
Oct. 14, 2008 |
Notice of Filing of Proposed Rule Change As Amended to Increase Liquidity Resources [Corrected to Conform to Federal Register Version]
Comments due: November 12, 2008
|
SR-DTC-2008-11 |
|
34-59102 |
Dec. 15, 2008 |
Order Approving a Proposed Rule Change to Implement a New Service to Allow Issuers to Track and Limit the Number of Beneficial Owners for an Individual CUSIP
|
|
34-58436 |
Aug. 27, 2008 |
Notice of Filing of a Proposed Rule Change to Implement a New Service to Allow Issuers to Track and Limit the Number of Beneficial Owners for an Individual CUSIP
Comments due: September 26, 2008
Comments received
are available
for this notice.
|
SR-DTC-2008-10 |
|
34-58407 |
Aug. 21, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Changes to the Collateral Loan System
Comments due: September 17, 2008
|
SR-DTC-2008-09 |
|
34-58944 |
Nov. 13, 2008 |
Order Granting Approval of a Proposed Rule Change to Expand DTC's Debit Cap Look-Ahead Processing
|
|
34-58730 |
Oct. 3, 2008 |
Notice of Filing of a Proposed Rule Change to Expand DTC's Debit Cap Look-Ahead Processing
Comments due: October 30, 2008
|
SR-DTC-2008-08 |
|
34-59033 |
Dec. 1, 2008 |
Order Granting Approval of a Proposed Rule Change to Eliminate the Ability to Obtain a Physical Certificate from DTC for Issues That are Eligible and Participating in the Direct Registration System
|
|
34-58404 |
Aug. 21, 2008 |
Notice of Filing of Proposed Rule Change to Eliminate the Ability to Obtain a Physical Certificate from DTC for Issues That are Eligible and Participating in the Direct Registration System
Comments due: September 23, 2008
Comments received
are available
for this notice.
|
SR-DTC-2008-07 |
|
34-58910 |
Nov. 6, 2008 |
Order Granting Approval of a Proposed Rule Change to Implement Processing Enhancements to the Profile Modification System Used in the Direct Registration System
|
|
34-58292 |
Aug. 1, 2008 |
Notice of Filing of Proposed Rule Change to Implement Processing Enhancements to the Profile Modification System Used in the Direct Registration System
Comments due: September 2, 2008
|
SR-DTC-2008-06 |
|
34-59386 |
Feb. 11, 2009 |
Order Approving Proposed Rule Change, As Amended, to Modify End of Day Settlement Procedures Relating to Settlement Acknowledgement Cut-off Time Frames for Settling Banks
|
|
34-58343 |
Aug. 12, 2008 |
Notice of Filing of Proposed Rule Change As Amended to Modify End of Day Settlement Procedures Relating to Settlement Acknowledgement Cut-off Time Frames for Settling Banks
Comments due: September 8, 2008
|
SR-DTC-2008-05 |
|
34-58252 |
Jul. 30, 2008 |
Notice of Filing of a Proposed Rule Change Relating to Establishing a New Money Market Instrument Procedure Disincentive Fee
Comments due: August 28, 2008
Comments received
are available
for this notice.
|
SR-DTC-2008-04 |
|
34-58042 |
Jun. 26, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule to Establish an Alternate Choice in DTC Profile Surety Providers
Comments due: 21 days after publication in the Federal Register
|
SR-DTC-2008-03 |
|
34-58165 |
Jul. 15, 2008 |
Notice of Filing of Proposed Rule Change to Establish a Fee Relating to DTC's Settlement Procedures for the Maturity of Money Market Instruments with Unknown Rates
Comments due: August 12, 2008
Comments received
are available
for this notice.
|
SR-DTC-2008-02 |
|
34-58044 |
Jun. 26, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Deposits Service Guide
Comments due: July 23, 2008
|
SR-DTC-2008-01 |
|
34-57366 |
Feb. 21, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Deliver Order Input Cutoff Window
Comments due: March 20, 2008
|
http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2008.shtml
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