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DTC Rulemaking Archive: 2009
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 2009
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-DTC-2009-19 |
|
34-61263 |
Dec. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fee Schedule
Comments due: February 1, 2010
|
SR-DTC-2009-17 |
|
34-61249 |
Dec. 29, 2009 |
Notice of Filing of Proposed Rule Change to Allow The Depository Trust Company to Provide Settlement Services to European Central Counterparty Limited for U.S. Securities Traded on European Trading Venues
Comments due: January 26, 2010
See also:
Order: Rel. No. 34-61593
|
SR-DTC-2009-16 |
|
34-61216 |
Dec. 22, 2009 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding The Depository Trust Company's Board of Directors Election Process
Comments due: January 19, 2010
|
SR-DTC-2009-13 |
|
34-60889 |
Oct. 27, 2009 |
Order Approving Proposed Rule Change Relating to Municipal Bonds Redemption Process
See also:
Notice: Rel. No. 34-60394
|
| Third Quarter |
SR-DTC-2009-15 |
|
34-60704 |
Sep. 22, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Payment Order System for Premium Payment Orders
Comments due: October 22, 2009
|
SR-DTC-2009-14 |
|
34-60660 |
Sep. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Other File Nos.: SR-NSCC-2009-07, SR-FICC-2009-09
Comments due: October 13, 2009
Comments received
are available
for this notice.
|
SR-DTC-2009-11 |
|
34-60594 |
Aug. 31, 2009 |
Order Approving Proposed Rule Change to Eliminate One of the Indemnity Surety Programs in the Profile Modification System
See also:
Notice: Rel. No. 34-60304
|
SR-DTC-2009-13 |
|
34-60394 |
Jul. 28, 2009 |
Notice of Filing of Proposed Rule Change Relating to Municipal Bonds Redemption Process
Comments due: August 25, 2009
See also:
Order: Rel. No. 34-60889
Comments received
are available
for this notice.
|
SR-DTC-2009-11 |
|
34-60304 |
Jul. 14, 2009 |
Notice of Filing of Proposed Rule Change to Eliminate One of the Indemnity Surety Programs in the Profile Modification System
Comments due: August 10, 2009
See also:
Order: Rel. No. 34-60594
|
| Second Quarter |
SR-DTC-2006-16 |
|
34-60196 |
Jun. 30, 2009 |
Order Granting Approval of a Proposed Rule Change as Amended Relating to FAST and DRS Limited Participant Requirements for Transfer Agents
Additional Materials:
See also:
Notice: Rel. No. 34-57959
|
SR-DTC-2009-12 |
|
34-60173 |
Jun. 25, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Voluntary Participants Fund Deposit
Comments due: July 23, 2009
|
SR-DTC-2009-10 |
|
34-60096 |
Jun. 11, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the Web Inquiry Notification System
Comments due: July 8, 2009
|
SR-DTC-2009-09 |
|
34-60036 |
Jun. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Alternate Choice in DTC’s Profile Modification System Indemnity Insurance Program
Comments due: July 6, 2009
|
SR-DTC-2009-07 |
|
34-59917 |
May 14, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Additional File Nos.: SR-FICC-2009-06 and SR-NSCC-2009-03
Comments due: June 11, 2009
Comments received
are available
for this notice.
|
SR-DTC-2009-05 |
|
34-59821 |
Apr. 24, 2009 |
Order Approving a Proposed Rule Change Relating to Expanding the Scope and Timing to Collect and Pass-Through Fees Owed by Participants to American Depositary Receipt Agents
See also:
Notice: Rel. No. 34-59540
|
SR-DTC-2009-08 |
|
34-59774 |
Apr. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Settlement Service Guide and Settlement Progress Payments
Comments due: May 13, 2009
|
SR-DTC-2009-02 |
|
34-59695 |
Apr. 2, 2009 |
Order Approving Proposed Rule Change to Implement a Maturity Presentment Pend Function to Replace the Maturity Presentment Contingency System
See also:
Notice: Rel. No. 34-59388
|
| First Quarter |
SR-DTC-2009-04 |
|
34-59618 |
Mar. 23, 2009 |
Order Approving Proposed Rule Change to Implement and Revise Fees Related to Non-Participant Services
See also:
Notice: Rel. No. 34-59387
|
SR-DTC-2009-06 |
|
34-59612 |
Mar. 20, 2009 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend Certificate of Incorporation to Increase Preferred Shares Issuance
Comments due: April 17, 2009
|
SR-DTC-2009-05 |
|
34-59540 |
Mar. 9, 2009 |
Notice of Filing of a Proposed Rule Change Relating to Expanding the Scope and Timing to Collect and Pass-Through Fees Owed by Participants to American Depositary Receipt Agents
Comments due: April 6, 2009
See also:
Order: Rel. No. 34-59821
|
SR-DTC-2009-03 |
|
34-59409 |
Feb. 13, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Revise its Fee Schedule
Comments due: March 13, 2009
|
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
See also:
Notice: Rel. No. 34-59088
|
SR-DTC-2009-02 |
|
34-59388 |
Feb. 11, 2009 |
Notice of Filing of Proposed Rule Change to Implement a Maturity Presentment Pend Function to Replace the Maturity Presentment Contingency System
Comments due: March 12, 2009
See also:
Order: Rel. No. 34-59695
|
SR-DTC-2009-04 |
|
34-59387 |
Feb. 11, 2009 |
Notice of Filing of Proposed Rule Change to Implement and Revise Fees Related to Non-Participant Services
Comments due: March 12, 2009
See also:
Order: Rel. No. 34-59618
|
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
See also:
Notice: Rel. No. 34-58343
|
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-2009-01 |
|
34-59286 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to the Deposits Service Guide
Comments due: February 23, 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.
|
| Release No. |
Date |
Details |
SR-DTC-2009-19 |
|
34-61263 |
Dec. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fee Schedule
Comments due: February 1, 2010
|
SR-DTC-2009-18 |
|
34-61318 |
Jan. 8, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Settlement Progress Payment and Principal and Income Withdrawal Cutoff Times
Comments due: February 5, 2010
|
SR-DTC-2009-17 |
|
34-61593 |
Feb. 25, 2010 |
Order Approving Proposed Rule Change to Allow The Depository Trust Company to Provide Settlement Services to European Central Counterparty Limited for U.S. Securities Traded on European Trading Venues
|
|
34-61249 |
Dec. 29, 2009 |
Notice of Filing of Proposed Rule Change to Allow The Depository Trust Company to Provide Settlement Services to European Central Counterparty Limited for U.S. Securities Traded on European Trading Venues
Comments due: January 26, 2010
|
SR-DTC-2009-16 |
|
34-61216 |
Dec. 22, 2009 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding The Depository Trust Company's Board of Directors Election Process
Comments due: January 19, 2010
|
SR-DTC-2009-15 |
|
34-60704 |
Sep. 22, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Payment Order System for Premium Payment Orders
Comments due: October 22, 2009
|
SR-DTC-2009-14 |
|
34-60660 |
Sep. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Other File Nos.: SR-NSCC-2009-07, SR-FICC-2009-09
Comments due: October 13, 2009
Comments received
are available
for this notice.
|
SR-DTC-2009-13 |
|
34-60889 |
Oct. 27, 2009 |
Order Approving Proposed Rule Change Relating to Municipal Bonds Redemption Process
|
|
34-60394 |
Jul. 28, 2009 |
Notice of Filing of Proposed Rule Change Relating to Municipal Bonds Redemption Process
Comments due: August 25, 2009
Comments received
are available
for this notice.
|
SR-DTC-2009-12 |
|
34-60173 |
Jun. 25, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Voluntary Participants Fund Deposit
Comments due: July 23, 2009
|
SR-DTC-2009-11 |
|
34-60594 |
Aug. 31, 2009 |
Order Approving Proposed Rule Change to Eliminate One of the Indemnity Surety Programs in the Profile Modification System
|
|
34-60304 |
Jul. 14, 2009 |
Notice of Filing of Proposed Rule Change to Eliminate One of the Indemnity Surety Programs in the Profile Modification System
Comments due: August 10, 2009
|
SR-DTC-2009-10 |
|
34-60096 |
Jun. 11, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the Web Inquiry Notification System
Comments due: July 8, 2009
|
SR-DTC-2009-09 |
|
34-60036 |
Jun. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Alternate Choice in DTC’s Profile Modification System Indemnity Insurance Program
Comments due: July 6, 2009
|
SR-DTC-2009-08 |
|
34-59774 |
Apr. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Settlement Service Guide and Settlement Progress Payments
Comments due: May 13, 2009
|
SR-DTC-2009-07 |
|
34-59917 |
May 14, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Additional File Nos.: SR-FICC-2009-06 and SR-NSCC-2009-03
Comments due: June 11, 2009
Comments received
are available
for this notice.
|
SR-DTC-2009-06 |
|
34-59612 |
Mar. 20, 2009 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend Certificate of Incorporation to Increase Preferred Shares Issuance
Comments due: April 17, 2009
|
SR-DTC-2009-05 |
|
34-59821 |
Apr. 24, 2009 |
Order Approving a Proposed Rule Change Relating to Expanding the Scope and Timing to Collect and Pass-Through Fees Owed by Participants to American Depositary Receipt Agents
|
|
34-59540 |
Mar. 9, 2009 |
Notice of Filing of a Proposed Rule Change Relating to Expanding the Scope and Timing to Collect and Pass-Through Fees Owed by Participants to American Depositary Receipt Agents
Comments due: April 6, 2009
|
SR-DTC-2009-04 |
|
34-59618 |
Mar. 23, 2009 |
Order Approving Proposed Rule Change to Implement and Revise Fees Related to Non-Participant Services
|
|
34-59387 |
Feb. 11, 2009 |
Notice of Filing of Proposed Rule Change to Implement and Revise Fees Related to Non-Participant Services
Comments due: March 12, 2009
|
SR-DTC-2009-03 |
|
34-59409 |
Feb. 13, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Revise its Fee Schedule
Comments due: March 13, 2009
|
SR-DTC-2009-02 |
|
34-59695 |
Apr. 2, 2009 |
Order Approving Proposed Rule Change to Implement a Maturity Presentment Pend Function to Replace the Maturity Presentment Contingency System
|
|
34-59388 |
Feb. 11, 2009 |
Notice of Filing of Proposed Rule Change to Implement a Maturity Presentment Pend Function to Replace the Maturity Presentment Contingency System
Comments due: March 12, 2009
|
SR-DTC-2009-01 |
|
34-59286 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to the Deposits Service Guide
Comments due: February 23, 2009
|
http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2009.shtml
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