DTC Rulemaking Archive: 2017
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Chronological List for 2017
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-DTC-2017-004 | ||
| 34-82377 | Dec. 21, 2017 | Notice of Filing of Amendment No. 4, Notice of Filing Amendment No. 5, Notice of Filing Amendment No. 6, and Order Granting Accelerated Approval of Proposed Rule Changes, as modified by Amendment Nos. 1, 3 and 6, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: January 18, 2018 Rebuttal comments due: February 1, 2018 See also: Notice: Rel. No. 34-82377, Notice: Rel. No. 34-81885, Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80877, Notice: Rel. No. 34-80489 Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008 |
| SR-DTC-2017-005 | ||
| 34-82368 | Dec. 19, 2017 | Notice of Filing of Amendments No. 2 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: January 16, 2018 See also: Notice: Rel. No. 34-81883, Notice: Rel. No. 34-81192, Notice: Rel. No. 34-80876, Notice: Rel. No. 34-80485 Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006 |
| SR-DTC-2017-016 | ||
| 34-82006 | Nov. 2, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework
See also: Notice: Rel. No. 34-81667 Additional File Nos.: SR-NSCC-2017-016, SR-FICC-2017-020 |
| SR-DTC-2017-020 | ||
| 34-81990 | Oct. 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Special Segregation Account for a Participant or Pledgee that is a Derivatives Clearing Organization or Futures Commission Merchant
Comments due: November 27, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-004 | ||
| 34-81885 | Oct. 16, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1 and No. 3, to Adopt the Clearing Agency Liquidity Risk Management Framework
See also: Notice: Rel. No. 34-82377, Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80877, Notice: Rel. No. 34-80489 Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008 |
| SR-DTC-2017-005 | ||
| 34-81883 | Oct. 16, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
See also: Notice: Rel No. 34-82368, Notice: Rel No. 34-81192, Notice: Rel No. 34-80876, Notice: Rel No. 34-80485 Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006 |
| SR-DTC-2017-018 | ||
| 34-81871 | Oct. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Distributions Guide Relating to Announcements and Tax Treatment of Certain Corporate Action Events and to Amend the DTC Fee Schedule
Comments due: November 9, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-019 | ||
| 34-81854 | Oct. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate a Surcharge for Eligibility Requests Submitted to DTC Two Days Prior to Closing Date
Comments due: November 7, 2017 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-DTC-2017-014 | ||
| 34-81745 | Sep. 28, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
See also: Notice: Rel. No. 34-81338 Additional File Nos.: SR-NSCC-2017-013, SR-FICC-2017-017 |
| SR-DTC-2017-016 | ||
| 34-81667 | Sep. 21, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework
Comments due: October 18, 2017 See also: Order: Rel. No. 34-82006 Additional File Nos.: SR-NSCC-2017-016, SR-FICC-2017-020 |
| SR-DTC-2017-013 | ||
| 34-81635 | Sep. 15, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
See also: Notice: Rel. No. 34-81248 Additional File Nos.: SR-NSCC-2017-012, SR-FICC-2017-016 |
| SR-DTC-2017-017 | ||
| 34-81554 | Sep. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Discount to the Pricing Schedule for Special Requests for Security Position Reports Relating to Municipal Security Issues
Comments due: October 5, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-008 | ||
| 34-81485 | Aug. 25, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
See also: Notice: Rel. No. 34-81074 Additional File Nos.: SR-FICC-2017-014, SR-NSCC-2017-008 |
| SR-DTC-2017-014 | ||
| 34-81338 | Aug. 8, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
Comments due: September 5, 2017 See also: Notice: Rel. No. 34-81745 Additional File Nos.: SR-FICC-2017-017, SR-NSCC-2017-013 |
| SR-DTC-2017-015 | ||
| 34-81305 | Aug. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Effective Date of the Settlement Cycle Rule Changes
Comments due: August 30, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-010 | ||
| 34-81249 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Operational Arrangements Necessary for Securities to Become and Remain Eligible for DTC Services in Order to Clarify and Update Provisions Relating to the Processing of Eligibility Requests and Servicing of Assets on Deposit at DTC
Comments due: August 23, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-013 | ||
| 34-81248 | Jul. 28, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
Comments due: August 23, 2017 See also: Order: Rel. No. 34-81635 Additional File Nos.: SR-NSCC-2017-012, SR-FICC-2017-016 |
| SR-DTC-2017-004 | ||
| 34-81194 | Jul. 24, 2017 | Notice of Filing Amendment No. 2, Notice of Filing Amendment No. 3, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Previously Modified by Amendment No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: August 18, 2017 Rebuttal comments due: September 1, 2017 See also: Notice: Rel. No. 34-82377, Notice: Rel. No. 34-80877, Notice: Rel. No. 34-80489 Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008 |
DTC File Number List for 2017
| Release No. | Date | Details |
|---|---|---|
| SR-DTC-2017-024 | ||
| 34-82662 | Feb. 8, 2018 | Order Approving Proposed Rule Change to Amend Procedures in the DTC Settlement Service Guide Relating to the Intra-Month Collection of Required Participants Fund Deposits |
| 34-82434 | Jan. 3, 2018 | Notice of Filing of Proposed Rule Change to Amend Procedures in the DTC Settlement Service Guide Relating to the Intra-Month Collection of Required Participants Fund Deposits
Comments due: January 30, 2018 Additional Materials: Exhibit 5 |
| SR-DTC-2017-023 | ||
| 34-82663 | Feb. 8, 2018 | Order Approving Proposed Rule Change to Restore the Timeframe for Processing Credit Post-Payable Adjustments |
| 34-82433 | Jan. 2, 2018 | Notice of Filing of a Proposed Rule Change to Restore the Timeframe for Processing Credit Post-Payable Adjustments
Comments due: January 29, 2018 Additional Materials: Exhibit 5 |
| SR-DTC-2017-022 | ||
| 34-83969 | Aug. 28, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Loss Allocation Rules and Make Other Changes |
| 34-83629 | Jul. 13, 2018 | Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: August 3, 2018 Additional Materials: Exhibit 4, Exhibit 5 Comments received are available for this proposal. |
| 34-83510 | Jun. 25, 2018 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Loss Allocation Rules and Make Other Changes
Additional File Nos.: SR-FICC-2017-022, SR-NSCC-2017-018 Comments received are available for this proposal. |
| 34-82914 | Mar. 20, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: April 16, 2018 Rebuttal comments due: April 30, 2018 Comments received are available for this proposal. |
| 34-82670 | Feb. 8, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Amend the Loss Allocation Rules and Make Other Changes
Additional File Nos.: SR-FICC-2017-022, SR-NSCC-2017-018 Comments received are available for this proposal. |
| 34-82426 | Jan. 2, 2018 | Notice of Filing of a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: January 29, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2017-021 | ||
| 34-83972 | Aug. 28, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Recovery & Wind-down Plan and Related Rules |
| 34-83628 | Jul. 13, 2018 | Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: August 3, 2018 Additional Materials: Exhibit 4, Exhibit 5a, Exhibit 5b Comments received are available for this proposal. |
| 34-83509 | Jun. 25, 2018 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Recovery & Wind-down Plan and Related Rules
Additional File Nos.: SR-FICC-2017-021, SR-NSCC-2017-017 Comments received are available for this proposal. |
| 34-82912 | Mar. 20, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: April 16, 2018 Rebuttal comments due: April 30, 2018 Comments received are available for this proposal. |
| 34-82669 | Feb. 8, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt a Recovery & Wind-down Plan and Related Rules
Additional File Nos.: SR-FICC-2017-021, SR-NSCC-2017-017 Comments received are available for this proposal. |
| 34-82432 | Jan. 2, 2018 | Notice of Filing of a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: January 29, 2018 Additional Materials: Exhibit 5a, Exhibit 5b Comments received are available for this proposal. |
| SR-DTC-2017-020 | ||
| 34-81990 | Oct. 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Special Segregation Account for a Participant or Pledgee that is a Derivatives Clearing Organization or Futures Commission Merchant
Comments due: November 27, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-019 | ||
| 34-81854 | Oct. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate a Surcharge for Eligibility Requests Submitted to DTC Two Days Prior to Closing Date
Comments due: November 7, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-018 | ||
| 34-81871 | Oct. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Distributions Guide Relating to Announcements and Tax Treatment of Certain Corporate Action Events and to Amend the DTC Fee Schedule
Comments due: November 9, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-017 | ||
| 34-81554 | Sep. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Discount to the Pricing Schedule for Special Requests for Security Position Reports Relating to Municipal Security Issues
Comments due: October 5, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-016 | ||
| 34-82006 | Nov. 2, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework
Additional File Nos.: SR-NSCC-2017-016, SR-FICC-2017-020 |
| 34-81667 | Sep. 21, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework
Comments due: October 18, 2017 Additional File Nos.: SR-NSCC-2017-016, SR-FICC-2017-020 |
| SR-DTC-2017-015 | ||
| 34-81305 | Aug. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Effective Date of the Settlement Cycle Rule Changes
Comments due: August 30, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-014 | ||
| 34-81745 | Sep. 28, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
Additional File Nos.: SR-NSCC-2017-013, SR-FICC-2017-017 |
| 34-81338 | Aug. 8, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
Comments due: September 5, 2017 Additional File Nos.: SR-FICC-2017-017, SR-NSCC-2017-013 |
| SR-DTC-2017-013 | ||
| 34-81635 | Sep. 15, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
Additional File Nos.: SR-NSCC-2017-012, SR-FICC-2017-016 |
| 34-81248 | Jul. 28, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
Comments due: August 23, 2017 Additional File Nos.: SR-NSCC-2017-012, SR-FICC-2017-016 |
| SR-DTC-2017-012 | ||
| 34-81099 | Jul. 7, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide in Order to Enhance the Memo Segregation Function in Connection with Deliveries Processed at DTC Related to the Direct Registration System
Comments due: August 3, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-011 | ||
| 34-81096 | Jul. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Agents to Use the Automated Tender Offer Program to Process Consent Solicitations for Book-Entry Only Securities
Comments due: August 3, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2017-010 | ||
| 34-81249 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Operational Arrangements Necessary for Securities to Become and Remain Eligible for DTC Services in Order to Clarify and Update Provisions Relating to the Processing of Eligibility Requests and Servicing of Assets on Deposit at DTC
Comments due: August 23, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-009 | ||
| 34-81001 | Jun. 22, 2017 | Notice of Filing of Proposed Rule Change To Establish a Swap Margin Segregation Account For the Segregation of Swap Margin With Respect to Deposited Securities
Comments due: July 19, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-008 | ||
| 34-81485 | Aug. 25, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
Additional File Nos.: SR-FICC-2017-014, SR-NSCC-2017-008 |
| 34-81074 | Jul. 5, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
Comments due: August 1, 2017 Additional File Nos.: SR-FICC-2017-014, SR-NSCC-2017-008 |
| SR-DTC-2017-007 | ||
| 34-80762 | May 24, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Settlement Service Guide to Make Technical Revisions to Clarify and Provide Enhanced Transparency With Respect to the Calculation and Adjustment of Required Participants Fund Deposits
Comments due: June 21, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-006 | ||
| 34-80454 | Apr. 13, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the DTC Rules in Order to Enhance Transparency with Regard to Application Criteria and Participation Requirements for Applicants and Participants
Comments due: May 10, 2017 Additional Materials: Exhibit 5 |
| SR-DTC-2017-005 | ||
| 34-82368 | Dec. 19, 2017 | Notice of Filing of Amendments No. 2 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: January 16, 2018 Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006 |
| 34-81883 | Oct. 16, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Stress Testing Framework (Market Risk) |
| 34-81192 | Jul. 24, 2017 | Notice of Filing Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: August 14, 2017 Rebuttal comments due: August 18, 2017 Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006 |
| 34-80876 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006 |
| 34-80485 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: May 16, 2017 Additional File Nos.: SR-FICC-2017-009, SR-NSCC-2017-006 |
| SR-DTC-2017-004 | ||
| 34-82377 | Dec. 21, 2017 | Notice of Filing of Amendment No. 4, Notice of Filing Amendment No. 5, Notice of Filing Amendment No. 6, and Order Granting Accelerated Approval of Proposed Rule Changes, as modified by Amendment Nos. 1, 3 and 6, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: January 18, 2018 Rebuttal comments due: February 1, 208 See also: Notice: Rel. No. 34-81885, Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80877, Notice: Rel. No. 34-80489 Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008 |
| 34-81885 | Oct. 16, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1 and No. 3, to Adopt the Clearing Agency Liquidity Risk Management Framework
See also: Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80877, Notice: Rel. No. 34-80489 Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008 |
| 34-81194 | Jul. 24, 2017 | Notice of Filing Amendment No. 2, Notice of Filing Amendment No. 3, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Previously Modified by Amendment No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: August 18, 2017 Rebuttal comments due: September 1, 2017 See also: Notice: Rel. No. 34-80877, Notice: Rel. No. 34-80489 Additional File Nos.: SR-NSCC-2017-005, SR-FICC-2017-008 |