DTC Rulemaking

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 2016

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Chronological List

Release No.	Date	Details
Fourth Quarter
SR-DTC-2016-007
34-79528	Dec. 12, 2016	Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to Clearing Agency Investment Policy Comments due: January 3, 2017 See also: Notice: Rel. No. 34-79165, Notice: Rel. No. 34-78778 Additional File Nos.: SR-FICC-2016-005, SR-NSCC-2016-003 Submit Comments on SR-DTC-2016-007
SR-DTC-2016-003
34-79488	Dec. 6, 2016	Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers See also: Notice: Rel. No. 34-78774, Notice: Rel. No. 34-78379, Notice: Rel. No. 34-77991
SR-DTC-2016-008
34-79351	Nov. 18, 2016	Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments See also:  Order: Rel. No. 34-79764, Notice: Rel. No. 34-79046
SR-DTC-2016-013
34-79304	Nov. 14, 2016	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide and Distributions Guide Relating to the Anticipated U.S. Market Transition to a Shortened Settlement Cycle Comments due: December 9, 2016 Additional Materials: Exhibit 5 Submit Comments on SR-DTC-2016-013
SR-DTC-2016-012
34-79297	Nov. 14, 2016	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide With Respect to Settlement Instructions Provided to DTC by Matching Utilities Comments due: December 9, 2016 Additional Materials: Exhibit 5 Submit Comments on SR-DTC-2016-012
SR-DTC-2016-011
34-79252	Nov. 7, 2016	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow DTC to Automate the Process for Participants to Submit Eligibility Requests for the DTC Custody Service Comments due: December 5, 2016 Additional Materials: Exhibit 5 Comments received are available for this proposal. Submit Comments on SR-DTC-2016-011
SR-DTC-2016-007
34-79165	Oct. 26, 2016	Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearing Agency Investment Policy Additional File Nos.: SR-FICC-2016-005, SR-NSCC-2016-003 See also: Notice: Rel. No. 34-79528, Notice: Rel. No. 34-78778
SR-DTC-2016-010
34-79122	Oct. 19, 2016	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow DTC to Automate the Process for Participants to Submit Eligibility Requests for Older Issues Comments due: November 15, 2016 Additional Materials: Exhibit 5 Submit Comments on SR-DTC-2016-010
SR-DTC-2016-009
34-79088	Oct. 12, 2016	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify Certain Rules Provisions Relating to Pledges Comments due:  November 8, 2016 Additional Materials: Exhibit 5
SR-DTC-2016-008
34-79046	Oct. 5, 2016	Notice of Filing of Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments Comments due: November 1, 2016 Additional Materials: Exhibit 5 See also:  Order: Rel. No. 34-79764, Notice: Rel. No. 34-79351
Third Quarter
SR-DTC-2016-005
34-78935	Sep. 26, 2016	Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Implementation of Functionality to Submit a Cover of Protect on Behalf of Another Participant and the Removal of the Option to Cover of Protect Directly with Agent Comments due:  October 21, 2016 See also: Notice: Rel. No. 34-78520
SR-DTC-2016-007
34-78778	Sep. 7, 2016	Notice of Filing of Proposed Rule Changes Relating to Clearing Agency Investment Policy Comments due:  October 4, 2016 Additional File Nos.: SR-FICC-2016-005, SR-NSCC-2016-003 See also: Notice: Rel. No. 34-79528, Notice: Rel. No. 34-79165 Submit Comments on SR-DTC-2016-007
SR-DTC-2016-003
34-78774	Sep. 6, 2016	Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers Comments due:  October 3, 2016 Rebuttal comments due: 35 days after publication in the Federal Register See also: Order: Rel. No. 34-79488, Notice: Rel. No. 34-78379, Notice: Rel. No. 34-77991
SR-DTC-2016-006
34-78530	Aug. 10, 2016	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add a Participants Fund Maintenance Fee Comments due: September 6, 2016 Additional Materials: Exhibit 5
SR-DTC-2016-005
34-78520	Aug. 9, 2016	Notice of Filing of Proposed Rule Change Regarding the Implementation of Functionality to Submit a Cover of Protect on Behalf of Another Participant and the Removal of the Option to Cover of Protect Directly with Agent Comments due: September 6, 2016 Additional Materials: Exhibit 5 See also: Notice/Order: Rel. No. 34-78935
SR-DTC-2016-003
34-78379	Jul. 21, 2016	Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Pursuant to Which DTC Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers See also: Order: Rel. No. 34-79488, Notice: Rel. No. 34-78774, Notice: Rel. No. 34-77991
SR-DTC-2016-004
34-78358	Jul. 19, 2016	Order Approving Proposed Rule Change to Establish a Link With Euroclear See also: Notice: Rel. No. 34-78031
Second Quarter
SR-DTC-2016-004
34-78031	Jun. 10, 2016	Notice of Filing of Proposed Rule Change to Establish a Link With Euroclear Comments due: July 7, 2016 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-78358
SR-DTC-2016-003
34-77991	Jun. 3, 2016	Notice of Filing of Proposed Rule Change Pursuant to Which It Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers Comments due: June 30, 2016 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-79488, Notice: Rel. No. 34-78774, Notice: Rel. No. 34-78379 Comments received are available for this proposal.
First Quarter
SR-DTC-2016-002
34-77043	Feb. 3, 2016	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Discontinuance of the Facsimile and Hardcopy Delivery Methods of Security Position Reports Comments due: March 1, 2016 Additional Materials: Exhibit 5
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 See also: Notice: Rel. No. 34-76510
SR-DTC-2016-001
34-76870	Jan. 11, 2016	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Custody Service Guide to Codify Its Current Procedures for Assigning a Value to Custody Service Securities for Shipping Insurance Valuation Purposes Comments due: February 5, 2016

http://www.sec.gov/rules/sro/dtc.shtml