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DTC Rulemaking Archive: 2012
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 2012
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-DTC-2012-10 |
|
34-68548 |
Dec. 28, 2012 |
Notice of Filing of Proposed Rule Change to Reduce Liquidity Risk Relating to Its Processing of Maturity and Income Presentments and Issuances of Money Market Instruments
Comments due: January 25, 2013
See also:
Notice: Rel. No. 34-68834
Comments received
are available
for this proposal.
|
SR-DTC-2012-09 |
|
34-68443 |
Dec. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Ministerial Changes to the Existing Reorganization Service Guide
Comments due: January 10, 2013
|
SR-DTC-2012-08 |
|
34-68114 |
Oct. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Its Corporate Actions Service in Order to Introduce a New Standard to Communicate Certain Corporate Actions Information to Participants
Comments due: November 26, 2012
|
| Third Quarter |
SR-DTC-2012-06 |
|
34-67707 |
Aug. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Updates to its Custody Service
Comments due: September 18, 2012
|
SR-DTC-2012-07 |
|
34-67705 |
Aug. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions
Comments due: September 18, 2012
|
SR-DTC-2012-03 |
|
34-67599A |
Aug. 16, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Implement a Change in the Practices of The Depository Trust Company as They Relate to Post-payable Adjustments; Correction
Comments due: August 31, 2012
See also:
Notice: Rel. No. 34-67599
and
Notice: Rel. No. 34-66894
|
SR-DTC-2012-05 |
|
34-67629 |
Aug. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enable The Depository Trust Company to Collect and Pass Through Certain Fees Owed by Participants to Transfer Agents in Connection with the Deposit and Withdrawal at Custodian System
Comments due: September 5, 2012
|
SR-DTC-2012-03 |
|
34-67599 |
Aug. 6, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Implement a Change in the Practices of The Depository Trust Company as They Relate to Post-payable Adjustments
Comments due: August 31, 2012
See also:
Notice: Rel. No. 34-67599A
and
Notice: Rel. No. 34-66894
|
| Second Quarter |
SR-DTC-2012-04 |
|
34-67119 |
Jun. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enable Issuers to Send Corporate Action Announcements in Machine Readable Format
Comments due: July 2, 2012
|
SR-DTC-2012-02 |
|
34-66919 |
May 3, 2012 |
Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to the Issuance of and Maturity Presentment Processing for Money Market Instruments
See also:
Notice: Rel. No. 34-66630
|
SR-DTC-2012-03 |
|
34-66894 |
May 1, 2012 |
Notice of Filing of Proposed Rule Change to Implement a Change in the Practices of The Depository Trust Company as They Relate to Post-payable Adjustments
Comments due: May 29, 2012
See also:
Notice: Rel. No. 34-67599A
and
Notice: Rel. No. 34-67599
Comments received
are available
for this notice.
|
| First Quarter |
SR-DTC-2012-02 |
|
34-66630 |
Mar. 20, 2012 |
Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Issuance of and Maturity Presentment Processing for Money Market Instruments
Comments due: April 16, 2012
See also:
Order: Rel. No. 34-66919
|
SR-DTC-2012-01 |
|
34-66413 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Automate the "Full Call" Notification Process Relating to Money Market Instruments and Reduce the Time Frame within Which Notices Are Required to be Submitted
Comments due: March 16, 2012
|
SR-DTC-2011-09 |
|
34-66186 |
Jan. 19, 2012 |
Order Approving Proposed Rule Change to Modify a Practice in Order to Mitigate Systemic Risk, Specifically Liquidity Related, Associated with DTC End of Day Net Funds Settlement
See also:
Notice: Rel. No. 34-65871
|
SR-DTC-2011-08 |
|
34-66179 |
Jan. 18, 2012 |
Order Approving Proposed Rule Change to Enhance Risk Management Controls Associated with the Receiver Authorized Delivery Function
See also:
Notice: Rel. No. 34-65831
|
| DTC File Number List for 2012 |
| Release No. |
Date |
Details |
SR-DTC-2012-11 |
|
34-68594 |
Jan. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Fee Schedule with Respect to Settlement and Asset Services
Comments due: February 1, 2013
|
SR-DTC-2012-10 |
|
34-68983 |
Feb. 25, 2013 |
Notice of Filing Amendment No. 2 and Order Approving Proposed Rule Change, as Modified by Amendment No. 2, to Reduce Liquidity Risk Relating to Its Processing of Maturity and Income Presentments and Issuances of Money Market Instruments
|
|
34-68834 |
Feb. 5, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Reduce Liquidity Risk Relating to Its Processing of Maturity and Income Presentments and Issuances of Money Market Instruments
|
|
34-68548 |
Dec. 28, 2012 |
Notice of Filing of Proposed Rule Change to Reduce Liquidity Risk Relating to Its Processing of Maturity and Income Presentments and Issuances of Money Market Instruments
Comments due: January 25, 2013
Comments received
are available
for this proposal.
|
SR-DTC-2012-09 |
|
34-68443 |
Dec. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Ministerial Changes to the Existing Reorganization Service Guide
Comments due: January 10, 2013
|
SR-DTC-2012-08 |
|
34-68114 |
Oct. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Its Corporate Actions Service in Order to Introduce a New Standard to Communicate Certain Corporate Actions Information to Participants
Comments due: November 26, 2012
|
SR-DTC-2012-07 |
|
34-67705 |
Aug. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions
Comments due: September 18, 2012
|
SR-DTC-2012-06 |
|
34-67707 |
Aug. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Updates to its Custody Service
Comments due: September 18, 2012
|
SR-DTC-2012-05 |
|
34-67629 |
Aug. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enable The Depository Trust Company to Collect and Pass Through Certain Fees Owed by Participants to Transfer Agents in Connection with the Deposit and Withdrawal at Custodian System
Comments due: September 5, 2012
|
SR-DTC-2012-04 |
|
34-67119 |
Jun. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enable Issuers to Send Corporate Action Announcements in Machine Readable Format
Comments due: July 2, 2012
|
SR-DTC-2012-03 |
|
34-67599A |
Aug. 16, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Implement a Change in the Practices of The Depository Trust Company as They Relate to Post-payable Adjustments; Correction
Comments due: August 31, 2012
|
|
34-67599 |
Aug. 6, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Implement a Change in the Practices of The Depository Trust Company as They Relate to Post-payable Adjustments
Comments due: August 31, 2012
|
|
34-66894 |
May 1, 2012 |
Notice of Filing of Proposed Rule Change to Implement a Change in the Practices of The Depository Trust Company as They Relate to Post-payable Adjustments
Comments due: May 29, 2012
Comments received
are available
for this notice.
|
SR-DTC-2012-02 |
|
34-66919 |
May 3, 2012 |
Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to the Issuance of and Maturity Presentment Processing for Money Market Instruments
|
|
34-66630 |
Mar. 20, 2012 |
Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Issuance of and Maturity Presentment Processing for Money Market Instruments
Comments due: April 16, 2012
|
SR-DTC-2012-01 |
|
34-66413 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Automate the "Full Call" Notification Process Relating to Money Market Instruments and Reduce the Time Frame within Which Notices Are Required to be Submitted
Comments due: March 16, 2012
|
http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2012.shtml
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