DTC Rulemaking Archive 2019

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 2019

Additional Archives

Chronological List for 2019

Release No. Date Details
Fourth Quarter
SR-DTC-2019-012
34-87756 Dec. 16, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Timeframe for a Rule Change to Implement a New Algorithm for Transactions Processed in the Night Cycle
Comments due: January 10, 2020
Additional Materials: Exhibit 5
SR-DTC-2019-011
34-87729 Dec. 12, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Distributions Guide and the Fee Guide Relating to Tax Events
Comments due: January 8, 2020
Additional Materials: Exhibit 3, Exhibit 5
SR-DTC-2019-008
34-87698 Dec. 9, 2019 Order Approving a Proposed Rule Change to Require Confirmation of Cybersecurity Program
SR-DTC-2019-009
34-87526 Nov. 13, 2019 Notice of Filing of Proposed Rule Change to Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions
Comments due: December 10, 2019
Additional Materials: Exhibit 5
SR-DTC-2019-010
34-87474 Nov. 6, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change in Connection with Changes to the Account Structure of Euroclear Bank at The Depository Trust Company
Comments due: December 4, 2019
Additional Materials: Exhibit 5
SR-DTC-2019-008
34-87393 Oct. 24, 2019 Notice of Filing of Proposed Rule Change to Require Confirmation of Cybersecurity Program
Comments due: November 20, 2019
Additional Materials: Exhibit 3, Exhibit 5
Third Quarter
SR-DTC-2019-005
34-87022 Sep. 19, 2019 Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend the Settlement Guide to Implement a New Algorithm for Transactions Processed in the Night Cycle
Comments due: October 16, 2019
SR-DTC-2019-007
34-86897 Sep. 6, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the DTC Deposits Service Guide Relating to Procedures for the Deposit of Nontransferable Securities
Comments due: October 3, 2019
Additional Materials: Exhibit 5
SR-DTC-2019-006
34-86692 Aug. 16, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Distributions Service Guide
Comments due: September 12, 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: August 28, 2019
SR-DTC-2019-005
34-86554 Aug. 2, 2019 Notice of Filing of Proposed Rule Change to Amend the Settlement Guide to Implement a New Algorithm for Transactions Processed in the Night Cycle
Comments due: August 29, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-DTC-2019-004
34-86255 Jul. 1, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Reorganizations Service Guide
Comments due: July 29, 2019
Additional Materials: Exhibit 5
Second Quarter
SR-DTC-2019-001
34-86113 Jun. 14, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Operational Arrangements Relating to Transfer Agent and Trustee Notices
Comments due: July 11, 2019
Additional Materials: Exhibit 5
SR-DTC-2019-002
34-86099 Jun. 13, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Operational Arrangements and Fee Guide Relating to Structured Securities
Comments due: July 10, 2019
Additional Materials: Exhibit 5
SR-DTC-2018-010
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
First Quarter
SR-DTC-2019-003
34-85986 May 31, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Reorganizations Service Guide
Comments due: June 27, 2019
Additional Materials: Exhibit 5
SR-DTC-2018-010
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

DTC File Number List for 2019

Release No. Date Details
SR-DTC-2019-012
34-87756 Dec. 16, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Timeframe for a Rule Change to Implement a New Algorithm for Transactions Processed in the Night Cycle
Comments due: Janaury 10, 2020
Additional Materials: Exhibit 5
SR-DTC-2019-011
34-87729 Dec. 12, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Distributions Guide and the Fee Guide Relating to Tax Events
Comments due: January 8, 2020
Additional Materials: Exhibit 3, Exhibit 5
SR-DTC-2019-010
34-87474 Nov. 6, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change in Connection with Changes to the Account Structure of Euroclear Bank at The Depository Trust Company
Comments due: December 4, 2019
Additional Materials: Exhibit 5
SR-DTC-2019-009
34-87879 Jan. 2, 2020 Order Approving a Proposed Rule Change to Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions
34-87526 Nov. 13, 2019 Notice of Filing of Proposed Rule Change to Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions
Comments due: December 10, 2019
Additional Materials: Exhibit 5
SR-DTC-2019-008
34-87698 Dec. 9, 2019 Order Approving a Proposed Rule Change to Require Confirmation of Cybersecurity Program
34-87393 Oct. 24, 2019 Notice of Filing of Proposed Rule Change to Require Confirmation of Cybersecurity Program
Comments due: November 20, 2019
Additional Materials: Exhibit 3, Exhibit 5
SR-DTC-2019-007
34-86897 Sep. 6, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the DTC Deposits Service Guide Relating to Procedures for the Deposit of Nontransferable Securities
Comments due: October 3, 2019
Additional Materials: Exhibit 5
SR-DTC-2019-006
34-86692 Aug. 16, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Distributions Service Guide
Comments due: September 12, 2019
Additional Materials: Exhibit 5
SR-DTC-2019-005
34-87022 Sep. 19, 2019 Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend the Settlement Guide to Implement a New Algorithm for Transactions Processed in the Night Cycle
Comments due: October 16, 2019
34-86554 Aug. 2, 2019 Notice of Filing of Proposed Rule Change to Amend the Settlement Guide to Implement a New Algorithm for Transactions Processed in the Night Cycle
Comments due: August 29, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-DTC-2019-004
34-86255 Jul. 1, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Reorganizations Service Guide
Comments due: July 29, 2019
Additional Materials: Exhibit 5
SR-DTC-2019-003
34-85986 May 31, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Reorganizations Service Guide
Comments due: June 27, 2019
Additional Materials: Exhibit 5
SR-DTC-2019-002
34-86099 Jun. 13, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Operational Arrangements and Fee Guide Relating to Structured Securities
Comments due: July 10, 2019
Additional Materials: Exhibit 5
SR-DTC-2019-001
34-86113 Jun. 14, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Operational Arrangements Relating to Transfer Agent and Trustee Notices
Comments due: July 11, 2019
Additional Materials: Exhibit 5

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