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DTC Rulemaking Archive: 2013
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 2013
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-DTC-2013-12 |
|
34-71206 |
Dec. 30, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Fee Schedule of The Depository Trust Company with Respect to its Underwriting Service
Comments due: January 27, 2014
|
SR-DTC-2013-11 |
|
34-71132 |
Dec. 18, 2013 |
Notice of Filing of Proposed Rule Change to specify procedures available to issuers of securities deposited at DTC for book entry services when DTC imposes or intends to impose restrictions on the further deposit and/or book entry transfer of those securities
Comments due: January 14, 2014
See also: Notice: Rel. No. 34-72860, Notice: Rel. No. 34-72391, Notice: Rel. No. 34-71745
Comments received are available for this proposal.
|
SR-DTC-2013-10 |
|
34-70675 |
Oct. 11, 2013 |
Order Approving Proposed Rule Change to Terminate the Sealed Envelope Service, Which is Part of The Depository Trust Company's Custody Service
See also:
Notice: Rel. No. 34-70291
|
| Third Quarter |
SR-DTC-2013-10 |
|
34-70291 |
Aug. 30, 2013 |
Notice of Filing of Proposed Rule Change In Order to Terminate the Sealed Envelope Service, Which is Part of The Depository Trust Company's Custody Service
Comments due: September 26, 2013
Comments received
are available
for this proposal.
See also:
Order: Rel. No. 34-70675
|
SR-DTC-2013-09 |
|
34-70198 |
Aug. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Special Procedures for Securities Offered Pursuant to Regulation S, Category 3, under the Securities Act of 1933
Comments due: September 10, 2013
|
SR-DTC-2013-04 |
|
34-69985 |
Jul. 12, 2013 |
Order Approving Proposed Rule Change in Connection with the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
See also:
Notice: Rel. No. 34-69666
|
| Second Quarter |
SR-DTC-2013-07 |
|
34-69866 |
Jun. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize and Clarify Language Within the DTC Service Guides Regarding Restrictions on Use of Information and Data Distributed by DTC
Comments due: July 24, 2013
Additional Materials:
Exhibit 5
|
SR-DTC-2013-08 |
|
34-69864 |
Jun. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a Fee Associated With the Expansion of DTC's Ability to Collect and Pass Through Fees Owed by Participants to American Depositary Receipt Agents
Comments due: July 24, 2013
Additional Materials:
Exhibit 5
|
SR-DTC-2013-03 |
|
34-69741 |
Jun. 12, 2013 |
Order Approving Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
See also:
Notice: Rel. No. 34-69494
|
SR-DTC-2013-04 |
|
34-69666 |
May 30, 2013 |
Notice of Filing of Proposed Rule Change in Connection with the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-69985
|
SR-DTC-2013-06 |
|
34-69597 |
May 16, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise DTC's Fees Related to Certain Corporate Action Events
Comments due: June 12, 2013
Additional Materials:
Exhibit 5
|
SR-DTC-2013-01 |
|
34-69562 |
May 13, 2013 |
Order Approving Proposed Rule Change to Modify Its Practice Regarding the Collection of Participants' Required Participants Fund Deposits
See also:
Notice: Rel. No. 34-69276
|
SR-DTC-2013-03 |
|
34-69494 |
May 2, 2013 |
Notice of Filing of Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
Comments due: May 29, 2013
See also:
Notice: Rel. No. 34-69741
|
SR-DTC-2013-01 |
|
34-69276 |
Apr. 2, 2013 |
Notice of Filing of Proposed Rule Change to Modify Its Practice Regarding the Collection of Participants' Required Participants Fund Deposits
Comments due: April 29, 2013
See also:
Order: Rel. No. 34-69562
|
| First Quarter |
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
See also:
Notice: Rel. No. 34-68834
and
Notice: Rel. No. 34-68548
|
SR-DTC-2012-10 |
|
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
See also:
Notice: Rel. No. 34-68548
|
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
|
| DTC File Number List for 2013 |
| Release No. |
Date |
Details |
SR-DTC-2013-12 |
|
34-71206 |
Dec. 30, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Fee Schedule of The Depository Trust Company with Respect to its Underwriting Service
Comments due: January 27, 2014
|
SR-DTC-2013-11 |
| 34-72860 |
Aug. 18, 2014 |
Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services when DTC Imposes or Intends to Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities
Comments due: 21 days after publication in the Federal Register
|
| 34-72391 |
Jun. 13, 2014 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether the Approve or Disapprove Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends to Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities
|
| 34-71745 |
Mar. 19, 2014 |
Notice of Filing Amendment Nos. 1 and 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends to Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities
Comments due: April 15, 2014
Rebuttal comments due: April 29, 2014
|
| 34-71132 |
Dec. 18, 2013 |
Notice of Filing of Proposed Rule Change to specify procedures available to issuers of securities deposited at DTC for book entry services when DTC imposes or intends to impose restrictions on the further deposit and/or book entry transfer of those securities
Comments due: January 14, 2014
Comments received are available for this proposal.
|
SR-DTC-2013-10 |
|
34-70675 |
Oct. 11, 2013 |
Order Approving Proposed Rule Change to Terminate the Sealed Envelope Service, Which is Part of The Depository Trust Company's Custody Service
See also:
Notice: Rel. No. 34-70291
|
|
34-70291 |
Aug. 30, 2013 |
Notice of Filing of Proposed Rule Change In Order to Terminate the Sealed Envelope Service, Which is Part of The Depository Trust Company's Custody Service
Comments due: September 26, 2013
Comments received
are available
for this proposal.
|
SR-DTC-2013-09 |
|
34-70198 |
Aug. 14, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Special Procedures for Securities Offered Pursuant to Regulation S, Category 3, under the Securities Act of 1933
Comments due: September 10, 2013
|
SR-DTC-2013-08 |
|
34-69864 |
Jun. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement a Fee Associated With the Expansion of DTC's Ability to Collect and Pass Through Fees Owed by Participants to American Depositary Receipt Agents
Comments due: July 24, 2013
Additional Materials:
Exhibit 5
|
SR-DTC-2013-07 |
|
34-69866 |
Jun. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize and Clarify Language Within the DTC Service Guides Regarding Restrictions on Use of Information and Data Distributed by DTC
Comments due: July 24, 2013
Additional Materials:
Exhibit 5
|
SR-DTC-2013-06 |
|
34-69597 |
May 16, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise DTC's Fees Related to Certain Corporate Action Events
Comments due: June 12, 2013
Additional Materials:
Exhibit 5
|
SR-DTC-2013-04 |
|
34-69985 |
Jul. 12, 2013 |
Order Approving Proposed Rule Change in Connection with the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
See also:
Notice: Rel. No. 34-69666
|
|
34-69666 |
May 30, 2013 |
Notice of Filing of Proposed Rule Change in Connection with the Modifications to Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-69985
|
SR-DTC-2013-03 |
|
34-69741 |
Jun. 12, 2013 |
Order Approving Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
See also:
Notice: Rel. No. 34-69494
|
|
34-69494 |
May 2, 2013 |
Notice of Filing of Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
Comments due: May 29, 2013
|
SR-DTC-2013-01 |
|
34-69562 |
May 13, 2013 |
Order Approving Proposed Rule Change to Modify Its Practice Regarding the Collection of Participants' Required Participants Fund Deposits
|
|
34-69276 |
Apr. 2, 2013 |
Notice of Filing of Proposed Rule Change to Modify Its Practice Regarding the Collection of Participants' Required Participants Fund Deposits
Comments due: April 29, 2013
|
http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2013.shtml
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