|
|
 |
DTC Rulemaking Archive: 2015
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 2015
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-2015-013 |
| 34-76811 |
Dec. 31, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Postponing the Date for Retirement of Computer to Computer Facility Corporate Action Announcement Files, and Implementing a Fee Associated with Its Use
Comments due: January 28, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-012 |
| 34-76802 |
Dec. 30, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Fee to Be Charged to Transfer Agents of DTC-eligible Issues Subject to a Corporate Action
Comments due: January 27, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-DTC-2015-011 |
| 34-76510 |
Nov. 23, 2015 |
Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
Comments due: December 21, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-010 |
| 34-76283 |
Oct. 27, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Details Regarding the Requirement that Participants Participate in Annual Testing of Business Continuity and Disaster Recovery Plans
Comments due: November 23, 2015
Additional Materials: Exhibit 5
|
| Third Quarter |
SR-DTC-2015-007 |
| 34-75487 |
Jul. 20, 2015 |
Order Approving Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System
See also: Notice: Rel. No. 34-75094
|
SR-DTC-2015-008 |
| 34-75463 |
Jul. 16, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Settlement Service Guide to Allow Participants to Elect to Receive Certain New Transactional and Settlement Balance Files and Effect a Related Amendment to the DTC Fee Schedule
Comments due: August 12, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-003 |
| 34-75380 |
Jul. 7, 2015 |
Notice of Withdrawal of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
See also: Notice: Rel. No. 34-74830
|
| Second Quarter |
SR-DTC-2015-007 |
| 34-75094 |
Jun. 2, 2015 |
Notice of Filing of Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System
Comments due: June 29, 2015
|
SR-DTC-2015-006 |
| 34-75030 |
May 21, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that Participants Are Required to Participate in Operational Testing by DTC, Including Testing of DTC’s Business Continuity and Disaster Recovery Plans
Comments due: June 18, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-005 |
| 34-74926 |
May 12, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Revisions to the DTC Custody Service Guide and the DTC Deposits Service Guide
Comments due: June 8, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-004 |
| 34-74831 |
Apr. 29, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a DTC Custody Service Fee Change
Comments due: May 26, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-003 |
| 34-74830 |
Apr. 29, 2015 |
Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
Comments due: May 26, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-75380
Comments received are available for this proposal.
|
SR-DTC-2015-01 |
| 34-74712 |
Apr. 10, 2015 |
Order Approving Proposed Rule Change to Discontinue the Prospectus Repository System Service
See also: Notice: Rel. No. 34-74358
|
| First Quarter |
SR-DTC-2015-02 |
| 34-74485 |
Mar. 12, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Revisions to the DTC Settlement Service Guide
Comments due: April 8, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-01 |
| 34-74358 |
Feb. 24, 2015 |
Notice of Filing of Proposed Rule Change to Discontinue the Prospectus Repository System Service
Comments due: March 23, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-74712
|
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
|
| DTC File Number List for 2015 |
| Release No. |
Date |
Details |
SR-DTC-2015-013 |
| 34-76811 |
Dec. 31, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Postponing the Date for Retirement of Computer to Computer Facility Corporate Action Announcement Files, and Implementing a Fee Associated with Its Use
Comments due: January 28, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-012 |
| 34-76802 |
Dec. 30, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Fee to Be Charged to Transfer Agents of DTC-eligible Issues Subject to a Corporate Action
Comments due: January 27, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-DTC-2015-011 |
| 34-76887 |
Jan. 13, 2016 |
Order Approving Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
|
| 34-76510 |
Nov. 23, 2015 |
Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
Additional Materials: Exhibit 5
|
SR-DTC-2015-010 |
| 34-76283 |
Oct. 27, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Details Regarding the Requirement that Participants Participate in Annual Testing of Business Continuity and Disaster Recovery Plans
Comments due: November 23, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-008 |
| 34-75463 |
Jul. 16, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Settlement Service Guide to Allow Participants to Elect to Receive Certain New Transactional and Settlement Balance Files and Effect a Related Amendment to the DTC Fee Schedule
Comments due: August 12, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-007 |
| 34-75487 |
Jul. 20, 2015 |
Order Approving Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System |
| 34-75094 |
Jun. 2, 2015 |
Notice of Filing of Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System
Comments due: June 29, 2015
|
SR-DTC-2015-006 |
| 34-75030 |
May 21, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that Participants Are Required to Participate in Operational Testing by DTC, Including Testing of DTC’s Business Continuity and Disaster Recovery Plans
Comments due: June 18, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-005 |
| 34-74926 |
May 12, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Revisions to the DTC Custody Service Guide and the DTC Deposits Service Guide
Comments due: June 8, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-004 |
| 34-74831 |
Apr. 29, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a DTC Custody Service Fee Change
Comments due: May 26, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-003 |
| 34-75380 |
Jul. 7, 2015 |
Notice of Withdrawal of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
|
| 34-74830 |
Apr. 29, 2015 |
Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks
Comments due: May 26, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-DTC-2015-02 |
| 34-74485 |
Mar. 12, 2015 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Revisions to the DTC Settlement Service Guide
Comments due: April 8, 2015
Additional Materials: Exhibit 5
|
SR-DTC-2015-01 |
| 34-74712 |
Apr. 10, 2015 |
Order Approving Proposed Rule Change to Discontinue the Prospectus Repository System Service
See also: Notice: Rel. No. 34-74358
|
| 34-74358 |
Feb. 24, 2015 |
Notice of Filing of Proposed Rule Change to Discontinue the Prospectus Repository System Service
Comments due: March 23, 2015
Additional Materials: Exhibit 5
|
http://www.sec.gov/rules/sro/dtc/dtcarchive/dtcarchive2015.shtml
|
