|
|
 |
DTC Rulemaking Archive: 2014
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 2014
Additional Archives
2023 |
2022 |
2021 |
2020 |
2019 |
2018 |
2017 |
2016 |
2015 |
2014 |
2013 |
2012 |
2011 |
2010 |
2009 |
2008 |
2007 |
2006 |
2005 |
2004 |
2003 |
2002 |
2001 |
2000 |
1999 |
1998 |
1997 |
1996 |
1995
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-DTC-2014-12 |
| 34-73864 |
Dec. 17, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Amendment of the Existing Dividends Service Guide
Comments due: January 13, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2014-10 |
| 34-73804 |
Dec. 10, 2014 |
Order Approving Proposed Rule Change in Connection with the Modifications to Require Receiver Authorized Delivery Approval for DTC Processing of Institutional Delivery Transactions
See also: Notice: Rel. No. 34-73443
|
SR-DTC-2014-11 |
| 34-73643 |
Nov. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that Federal Reserve Banks, Central Counterparties, and Central Securities Depositories Shall Not Be Considered Either "Mandatory Purchaser Participants" or "Voluntary Purchaser Participants"
Comments due: December 16, 2014
Additional Materials: Exhibit 5
|
SR-DTC-2014-10 |
| 34-73443 |
Oct. 28, 2014 |
Notice of Filing of Proposed Rule Change in Connection with the Modifications to Require Receiver Authorized Delivery Approval for DTC Processing of Institutional Delivery Transactions
Comments due: November 24, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-73804
|
| Third Quarter |
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
See also: Notice: Rel. No. 34-72391, Notice: Rel. No. 34-71745, Notice: Rel. No. 34-71132
|
SR-DTC-2014-08 |
| 34-72763 |
Aug. 5, 2014 |
Order Approving Proposed Rule Change to Transfer NIIDS to a Non-Clearing Agency Affiliate
See also: Notice: Rel. No. 34-72432
|
SR-DTC-2014-06 |
| 34-72576 |
Jul. 9, 2014 |
Order Approving Proposed Rule Change to Modify the Receiver Authorized Deliver and Reclaim Processing Value Limits by Transaction
See also: Notice: Rel. No. 34-72283
|
| Second Quarter |
SR-DTC-2014-08 |
| 34-72432 |
Jun. 19, 2014 |
Notice of Filing of Proposed Rule Change to Transfer the NIIDS Service to a Non-Clearing Agency Affiliate
Comments due: July 16, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72763
|
SR-DTC-2013-11 |
| 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
See also: Notice: Rel. No. 34-72860, Notice: Rel. No. 34-71745, Notice: Rel. No. 34-71132
|
SR-DTC-2014-07 |
| 34-72308 |
Jun. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Implementation of a Fee for ACATS-Related Deliveries and Receives
Comments due: July 1, 2014
|
SR-DTC-2014-06 |
| 34-72283 |
May 30, 2014 |
Notice of Filing of Proposed Rule Change to Modify the Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
Comments due: June 26, 2014
See also: Order: Rel. No. 34-72576
|
SR-DTC-2014-04 |
| 34-72224 |
May 22, 2014 |
Order Approving Proposed Rule Change to Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation
See also: Notice: Rel. No. 34-71886
|
SR-DTC-2014-02 |
| 34-71888 |
Apr. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Settlement Service Guide to Clarify the Largest Provisional Net Credit Procedures
Comments due: May 2, 2014
Additional Materials: Exhibit 5
|
SR-DTC-2014-04 |
| 34-71886 |
Apr. 7, 2014 |
Notice of Filing of Proposed Rule Change to Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation
Comments due: May 2, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72224
|
| First Quarter |
SR-DTC-2014-03 |
|
34-71828 |
Mar. 28, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions
Comments due: April 24, 2014
|
SR-DTC-2013-11 |
|
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
See also: Notice: Rel. No. 34-72860, Notice: Rel. No. 34-72391, Notice: Rel. No. 34-71132
Comments received are available for this proposal.
|
SR-DTC-2014-01 |
|
34-71499 |
Feb. 6, 2014 |
Notice of Filing and Order of Accelerated Approval of Proposed Rule Change to Amend The Depository Trust Company Settlement Service Guide to Lower the Amount of the Maximum Net Debit Cap for an Affiliated Family of Participants and Make Other Related Changes
Comments due: March 5, 2014
Additional Materials:
Exhibit 5
|
| DTC File Number List for 2014 |
| Release No. |
Date |
Details |
SR-DTC-2014-13 |
| 34-73982 |
Jan. 5, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Charged for Tax Services
Comments due: January 30, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2014-12 |
| 34-73864 |
Dec. 17, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Amendment of the Existing Dividends Service Guide
Comments due: January 13, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2014-11 |
| 34-73643 |
Nov. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that Federal Reserve Banks, Central Counterparties, and Central Securities Depositories Shall Not Be Considered Either "Mandatory Purchaser Participants" or "Voluntary Purchaser Participants"
Comments due: December 16, 2014
Additional Materials: Exhibit 5
|
SR-DTC-2014-10 |
| 34-73804 |
Dec. 10, 2014 |
Order Approving Proposed Rule Change in Connection with the Modifications to Require Receiver Authorized Delivery Approval for DTC Processing of Institutional Delivery Transactions
|
| 34-73443 |
Oct. 28, 2014 |
Notice of Filing of Proposed Rule Change in Connection with the Modifications to Require Receiver Authorized Delivery Approval for DTC Processing of Institutional Delivery Transactions
Comments due: November 24, 2014
Additional Materials: Exhibit 5
|
SR-DTC-2014-08 |
| 34-72763 |
Aug. 5, 2014 |
Order Approving Proposed Rule Change to Transfer NIIDS to a Non-Clearing Agency Affiliate
|
| 34-72432 |
Jun. 19, 2014 |
Notice of Filing of Proposed Rule Change to Transfer the NIIDS Service to a Non-Clearing Agency Affiliate
Comments due: July 16, 2014
Additional Materials: Exhibit 5
|
SR-DTC-2014-07 |
| 34-72308 |
Jun. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Implementation of a Fee for ACATS-Related Deliveries and Receives
Comments due: July 1, 2014
|
SR-DTC-2014-06 |
| 34-72576 |
Jul. 9, 2014 |
Order Approving Proposed Rule Change to Modify the Receiver Authorized Deliver and Reclaim Processing Value Limits by Transaction
|
| 34-72283 |
May 30, 2014 |
Notice of Filing of Proposed Rule Change to Modify the Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
Comments due: June 26, 2014
|
SR-DTC-2014-04 |
| 34-72224 |
May 22, 2014 |
Order Approving Proposed Rule Change to Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation
|
| 34-71886 |
Apr. 7, 2014 |
Notice of Filing of Proposed Rule Change to Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation
Comments due: May 2, 2014
Additional Materials: Exhibit 5
|
SR-DTC-2014-03 |
|
34-71828 |
Mar. 28, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions
Comments due: April 24, 2014
|
SR-DTC-2014-02 |
| 34-71888 |
Apr. 7, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Settlement Service Guide to Clarify the Largest Provisional Net Credit Procedures
Comments due: May 2, 2014
Additional Materials: Exhibit 5
|
SR-DTC-2014-01 |
|
34-71499 |
Feb. 6, 2014 |
Notice of Filing and Order of Accelerated Approval of Proposed Rule Change to Amend The Depository Trust Company Settlement Service Guide to Lower the Amount of the Maximum Net Debit Cap for an Affiliated Family of Participants and Make Other Related Changes
Comments due: March 5, 2014
Additional Materials:
Exhibit 5
|
http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2014.shtml
|
