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: 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

Additional Archives


Chronological List
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.
* Submit comments on SR-DTC-2012-10

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.
* Submit comments on SR-DTC-2012-10

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


Modified: 04/14/2014