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
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
Chronological List for 2018
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-DTC-2018-010 | ||
| 34-84954 | Dec. 26, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Settlement Guide Procedures to Provide Status Information for Institutional Transactions to a Matching Utility |
| SR-DTC-2018-012 | ||
| 34-84949 | Dec. 21, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Comments due: January 22, 2019 Additional File Nos.: SR-FICC-2018-014, SR-NSCC-2018-013 |
| SR-DTC-2018-013 | ||
| 34-84894 | Dec. 20, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Service Guide for the Canadian-Link Service
Comments due: January 18, 2019 Additional Materials: Exhibit 5 |
| SR-DTC-2018-011 | ||
| 34-84768 | Dec. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Guide to the DTC Fee Schedule
Comments due: January 4, 2019 Additional Materials: Exhibit 5 |
| SR-DTC-2018-010 | ||
| 34-84751 | Dec. 7, 2018 | Notice of Filing of a Proposed Rule Change to Amend the Settlement Guide Procedures to Provide Status Information for Institutional Transactions to a Matching Utility
Comments due: January 2, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2018-009 | ||
| 34-84458 | Oct. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Frameworks
Comments due: November 15, 2018 Additional File Nos.: SR-FICC-2018-010, SR-NSCC-2018-009 |
| SR-DTC-2018-008 | ||
| 34-84426 | Oct. 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: November 9, 2018 |
| Third Quarter | ||
| 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 |
| 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 |
| SR-DTC-2018-006 | ||
| 34-83940 | Aug. 24, 2018 | Order Granting Approval of Proposed Rule Change to Amend Rule 35 to Provide for Designated Accounts for Use With Designated Collateral Management Service Providers |
| SR-DTC-2018-007 | ||
| 34-83871 | Aug. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Process of the Reduction of Dividend or Interest Payments to a Participant on Treasury Shares or Repurchased Debt Securities
Comments due: September 13, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2018-004 | ||
| 34-83712 | Jul. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Clarifying Changes and Updates to the DTC Underwriting Service Guide
Comments due: August 22, 2018 Additional Materials: Exhibit 5 |
| SR-DTC-2018-006 | ||
| 34-83667 | Jul. 18, 2018 | Notice of Filing of Proposed Rule Change to Amend Rule 35 to Provide for Designated Accounts for Use With Designated Collateral Management Service Providers
Comments due: August 14, 2018 Additional Materials: Exhibit 5 |
| SR-DTC-2017-022 | ||
| 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. |
| SR-DTC-2017-021 | ||
| 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. |
| Second Quarter | ||
| SR-DTC-2018-002 | ||
| 34-83544 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rules and Fee Schedule Relating to Participant and Pledgee Applications
Comments due: July 24, 2018 Additional Materials: Exhibit 5 |
| SR-DTC-2018-005 | ||
| 34-83511 | Jun. 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Operational Arrangements to Add Clarifying Text Relating to the Processing of Unit Investment Trust Securities through the DTC Investor's Voluntary Redemptions and Sales Service
Comments due: July 20, 2018 Additional Materials: Exhibit 5 |
| SR-DTC-2017-022 | ||
| 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. |
| SR-DTC-2017-021 | ||
| 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. |
| SR-DTC-2018-003 | ||
| 34-83058 | Apr. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Redemptions Service Guide and the DTC Reorganizations Service Guide to Add Clarifying Text Relating to the Processing of MMI Securities
Comments due: May 14, 2018 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-DTC-2018-001 | ||
| 34-82915 | Mar. 20, 2018 | Order Approving Proposed Rule Change to Amend the By-Laws |
| SR-DTC-2017-021 | ||
| 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. |
| SR-DTC-2017-022 | ||
| 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. |
| SR-DTC-2017-022 | ||
| 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. |
| SR-DTC-2017-021 | ||
| 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. |
| SR-DTC-2018-001 | ||
| 34-82671 | Feb. 8, 2018 | Notice of Filing of Proposed Rule Change to Amend the By-Laws
Comments due: March 7, 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 |
| 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 |
| SR-DTC-2017-024 | ||
| 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 | ||
| 34-82433 | 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-2017-021 | ||
| 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-2017-022 | ||
| 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. |
DTC File Number List for 2018
| Release No. | Date | Details |
|---|---|---|
| SR-DTC-2018-013 | ||
| 34-84894 | Dec. 20, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Service Guide for the Canadian-Link Service
Comments due: January 18, 2019 Additional Materials: Exhibit 5 |
| SR-DTC-2018-012 | ||
| 34-84949 | Dec. 21, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Comments due: January 22, 2019 Additional File Nos.: SR-FICC-2018-014, SR-NSCC-2018-013 |
| SR-DTC-2018-011 | ||
| 34-84768 | Dec. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Guide to the DTC Fee Schedule
Comments due: January 4, 2019 Additional Materials: Exhibit 5 |
| SR-DTC-2018-010 | ||
| 34-86589 | Aug. 7, 2019 | Notice of Filing Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Amend the Settlement Guide Procedures to Provide Status Information for Institutional Transactions to a Matching Utility
Comments due: 15 days after publication in the Federal Register |
| 34-86037 | Jun. 5, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Settlement Guide Procedures to Provide Status Information for Institutional Transactions to a Matching Utility |
| 34-85288 | Mar. 11, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Settlement Guide Procedures to Provide Status Information for Institutional Transactions to a Matching Utility
Comments due: April 5, 2019 Rebuttal comments due: April 15, 2019 |
| 34-84954 | Dec. 26, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend the Settlement Guide Procedures to Provide Status Information for Institutional Transactions to a Matching Utility |
| 34-84751 | Dec. 7, 2018 | Notice of Filing of a Proposed Rule Change to Amend the Settlement Guide Procedures to Provide Status Information for Institutional Transactions to a Matching Utility
Comments due: January 2, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2018-009 | ||
| 34-84458 | Oct. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Frameworks
Comments due: November 15, 2018 Additional File Nos.: SR-FICC-2018-010, SR-NSCC-2018-009 |
| SR-DTC-2018-008 | ||
| 34-84426 | Oct. 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: November 9, 2018 |
| SR-DTC-2018-007 | ||
| 34-83871 | Aug. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Process of the Reduction of Dividend or Interest Payments to a Participant on Treasury Shares or Repurchased Debt Securities
Comments due: September 13, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2018-006 | ||
| 34-83940 | Aug. 24, 2018 | Order Granting Approval of Proposed Rule Change to Amend Rule 35 to Provide for Designated Accounts for Use With Designated Collateral Management Service Providers |
| 34-83667 | Jul. 18, 2018 | Notice of Filing of Proposed Rule Change to Amend Rule 35 to Provide for Designated Accounts for Use With Designated Collateral Management Service Providers
Comments due: August 14, 2018 Additional Materials: Exhibit 5 |
| SR-DTC-2018-004 | ||
| 34-83712 | Jul. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Clarifying Changes and Updates to the DTC Underwriting Service Guide
Comments due: August 22, 2018 Additional Materials: Exhibit 5 |
| SR-DTC-2018-005 | ||
| 34-83511 | Jun. 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Operational Arrangements to Add Clarifying Text Relating to the Processing of Unit Investment Trust Securities through the DTC Investor's Voluntary Redemptions and Sales Service
Comments due: July 20, 2018 Additional Materials: Exhibit 5 |
| SR-DTC-2018-003 | ||
| 34-83058 | Apr. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the DTC Redemptions Service Guide and the DTC Reorganizations Service Guide to Add Clarifying Text Relating to the Processing of MMI Securities
Comments due: May 14, 2018 Additional Materials: Exhibit 5 |
| SR-DTC-2018-002 | ||
| 34-83544 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rules and Fee Schedule Relating to Participant and Pledgee Applications
Comments due: July 24, 2018 Additional Materials: Exhibit 5 |
| SR-DTC-2018-001 | ||
| 34-82915 | Mar. 20, 2018 | Order Approving Proposed Rule Change to Amend the By-Laws |
| 34-82671 | Feb. 8, 2018 | Notice of Filing of Proposed Rule Change to Amend the By-Laws
Comments due: March 7, 2018 Additional Materials: Exhibit 5 |