The Depository Trust Company (DTC) Rulemaking - Archive 2020
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
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Chronological List for 2020
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-DTC-2020-020 | ||
| 34-90805 | Dec. 28, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add a Fee for the New ClaimConnectTM Service
Comments due: January 25, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2020-019 | ||
| 34-90747 | Dec. 21, 2020 | Notice of Filing of Proposed Rule Change to Update the Distributions Service Guide
Comments due: January 19, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2020-018 | ||
| 34-90649 | Dec. 11, 2020 | Notice of Filings and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agencies Liquidity Risk Management Framework
Comments due: January 7, 2021 Additional Materials: Exhibit 5 Additional File Nos.: SR-FICC-2020-018, SR-NSCC-2020-021 |
| SR-DTC-2020-015 | ||
| 34-90626 | Dec. 10, 2020 | Notice of Filings and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Operational Risk Management Framework
Comments due: January 6, 2021 Additional File Nos.: SR-FICC-2020-016, SR-NSCC-2020-019 |
| SR-DTC-2020-014 | ||
| 34-90546 | Dec. 1, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Guide to the DTC Fee Schedule
Comments due: December 28, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2020-017 | ||
| 34-90534 | Nov. 30, 2020 | Notice of Filing of Proposed Rule Change to Allow for the Deposit of Electronic Certificates of Deposit and Technical Changes
Comments due: December 28, 2020 Additional Materials: Exhibit 2, Exhibit 5 |
| SR-DTC-2020-016 | ||
| 34-90490 | Nov. 23, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Reorganizations Service Guide and the Guide to the Fee Schedule
Comments due: December 21, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-012 | ||
| 34-90481 | Nov. 23, 2020 | Order Approving a Proposed Rule Change to Establish the ClaimConnect™ Service and Update the Settlement Service Guide |
| SR-DTC-2020-013 | ||
| 34-90415 | Nov. 13, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Reorganizations Service Guide
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-DTC-2020-011 | ||
| 34-90372 | Nov. 6, 2020 | Order Approving a Proposed Rule Change to Amend Rule 4 |
| SR-DTC-2020-012 | ||
| 34-90203 | Oct. 15, 2020 | Notice of Filing of Proposed Rule Change to Adopt a New Service Guide to Establish the ClaimConnect™ Service and Update the Settlement Service Guide
Comments due: November 12, 2020 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-DTC-2020-011 | ||
| 34-89952 | Sep. 22, 2020 | Notice of Filing of Proposed Rule Change to Amend Rule 4
Comments due: October 19, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-010 | ||
| 34-89361 | Jul. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Clearing Agency Policy on Capital Requirements
Comments due: August 17, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-009 | ||
| 34-89269 | Jul. 9, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Clearing Agency Risk Management Framework
Comments due: August 5, 2020. Additional Materials: Exhibit 5 |
| SecondQuarter | ||
| SR-DTC-2020-008 | ||
| 34-88911 | May 20, 2020 | Order Approving a Proposed Rule Change to Modify the Clearing Agency Model Risk Management Framework
Additional File Nos.: SR-FICC-2020-004, SR-NSCC-2020-008 |
| SR-DTC-2020-008 | ||
| 34-88639 | Apr. 15, 2020 | Notice of Filing of Proposed Rule Change to Modify the Clearing Agency Model Risk Management Framework
Comments due: May 12, 2020 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-DTC-2020-007 | ||
| 34-88513 | Mar. 30, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Clearing Agency Investment Policy Comments due: April 24, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-006 | ||
| 34-88467 | Mar. 25, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the DTC Operational Arrangements with Respect to Notices Submitted to DTC for Posting to LENS
Comments due: April 21, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-005 | ||
| 34-88380 | Mar. 13, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the DTC Fee Guide to Add Fees Relating to the Provision of Status Information for Institutional Transactions to a Matching Utility
Comments due: April 9, 2020 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-DTC-2020-003 | ||
| 34-88157 | Feb. 11, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Transition the Application Used for Participant Access to the Imaging Function Relating to Deposited Certificates from a Non-Web-Based Application to a Web-Based Application
Comments due: March 10, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-002 | ||
| 34-88050 | Jan. 27, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Decommission the Web Inquiry Notification System and Make Other Related and Technical Changes
Comments due: February 21, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-001 | ||
| 34-88049 | Jan. 27, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the DTC Fee Guide
Comments due: February 21, 2020 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 |
DTC File Number List for 2020
| Release No. | Date | Details |
|---|---|---|
| SR-DTC-2020-020 | ||
| 34-90805 | Dec. 28, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add a Fee for the New ClaimConnectTM Service
Comments due: January 25, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2020-019 | ||
| 34-91063 | Feb. 4, 2021 | Order Approving a Proposed Rule Change to Update the Distributions Service Guide |
| 34-90747 | Dec. 21, 2020 | Notice of Filing of Proposed Rule Change to Update the Distributions Service Guide
Comments due: January 19, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2020-018 | ||
| 34-90649 | Dec. 11, 2020 | Notice of Filings and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agencies Liquidity Risk Management Framework
Comments due: January 7, 2021 Additional Materials: Exhibit 5 Additional File Nos.: SR-FICC-2020-018, SR-NSCC-2020-021 |
| SR-DTC-2020-017 | ||
| 34-90895 | Jan. 11, 2021 | Order Approving a Proposed Rule Change to Allow for the Deposit of Electronic Certificates of Deposit and Technical Changes |
| 34-90534 | Nov. 30, 2020 | Notice of Filing of Proposed Rule Change to Allow for the Deposit of Electronic Certificates of Deposit and Technical Changes
Comments due: December 28, 2020 Additional Materials: Exhibit 2, Exhibit 5 |
| SR-DTC-2020-016 | ||
| 34-90490 | Nov. 23, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Reorganizations Service Guide and the Guide to the Fee Schedule
Comments due: December 21, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-015 | ||
| 34-90626 | Dec. 10, 2020 | Notice of Filings and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Operational Risk Management Framework
Comments due: January 6, 2021 Additional File Nos.: SR-FICC-2020-016, SR-NSCC-2020-019 |
| SR-DTC-2020-014 | ||
| 34-90546 | Dec. 1, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Guide to the DTC Fee Schedule
Comments due: December 28, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2020-013 | ||
| 34-90415 | Nov. 13, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Reorganizations Service Guide
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-DTC-2020-012 | ||
| 34-90481 | Nov. 23, 2020 | Order Approving a Proposed Rule Change to Establish the ClaimConnect™ Service and Update the Settlement Service Guide |
| 34-90203 | Oct. 15, 2020 | Notice of Filing of Proposed Rule Change to Adopt a New Service Guide to Establish the ClaimConnect™ Service and Update the Settlement Service Guide
Comments due: November 12, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-011 | ||
| 34-90372 | Nov. 6, 2020 | Order Approving a Proposed Rule Change to Amend Rule 4 |
| 34-89952 | Sep. 22, 2020 | Notice of Filing of Proposed Rule Change to Amend Rule 4
Comments due: October 19, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-010 | ||
| 34-89361 | Jul. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Clearing Agency Policy on Capital Requirements
Comments due: August 17, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-009 | ||
| 34-89269 | Jul. 9, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Clearing Agency Risk Management Framework
Comments due: August 5, 2020. Additional Materials: Exhibit 5 |
| SR-DTC-2020-008 | ||
| 34-88911 | May 20, 2020 | Order Approving a Proposed Rule Change to Modify the Clearing Agency Model Risk Management Framework
Additional File Nos.: SR-FICC-2020-004, SR-NSCC-2020-008 |
| 34-88639 | Apr. 15, 2020 | Notice of Filing of Proposed Rule Change to Modify the Clearing Agency Model Risk Management Framework
Comments due: May 12, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-007 | ||
| 34-88513 | Mar. 30, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Clearing Agency Investment Policy Comments due: April 24, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-006 | ||
| 34-88467 | Mar. 25, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the DTC Operational Arrangements with Respect to Notices Submitted to DTC for Posting to LENS
Comments due: April 21, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-005 | ||
| 34-88380 | Mar. 13, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the DTC Fee Guide to Add Fees Relating to the Provision of Status Information for Institutional Transactions to a Matching Utility
Comments due: April 9, 2020 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-DTC-2020-003 | ||
| 34-88157 | Feb. 11, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Transition the Application Used for Participant Access to the Imaging Function Relating to Deposited Certificates from a Non-Web-Based Application to a Web-Based Application
Comments due: March 10, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-002 | ||
| 34-88050 | Jan. 27, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Decommission the Web Inquiry Notification System and Make Other Related and Technical Changes
Comments due: February 21, 2020 Additional Materials: Exhibit 5 |
| SR-DTC-2020-001 | ||
| 34-88049 | Jan. 27, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the DTC Fee Guide
Comments due: February 21, 2020 Additional Materials: Exhibit 5 |