The Depository Trust Company (DTC) Rulemaking - Archive 2021
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Chronological List
First Quarter
The Depository Trust Company (DTC) File Number List for 2021
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Chronological List for 2021
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-DTC-2021-018 | ||
| 34-93885 | Dec. 30, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Reorganizations Guide and the Fee Guide
Comments due: January 26, 2022 Additional Materials: Exhibit 5 |
| SR-DTC-2021-017 | ||
| 34-93854 | Dec. 22, 2021 | Notice of Filing of Proposed Rule Change to Enhance Capital Requirements and Make Other Changes
Comments due: January 19, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-016 | ||
| 34-93669 | Nov. 24, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Certain Revisions and Clarifications to the Rules
Comments due: December 21, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2021-014 | ||
| 34-93533 | Nov. 5, 2021 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
Comments due: December 3, 2021 Rebuttal comments due: December 17, 2021 |
| SR-DTC-2021-015 | ||
| 34-93442 | Oct. 28, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend DTC's Procedures and Make Clarifying Changes to the DTC Rules
Comments due: November 24, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2021-011 | ||
| 34-93279 | Oct. 8, 2021 | Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes |
| Third Quarter | ||
| SR-DTC-2021-014 | ||
| 34-92861 | Sep. 2, 2021 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation |
| SR-DTC-2021-011 | ||
| 34-92748 | Aug. 25, 2021 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes |
| SR-DTC-2021-014 | ||
| 34-92572 | Aug. 5, 2021 | Notice of Filing of a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-DTC-2021-012 | ||
| 34-92410 | Jul. 14, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consisting of Modifications to the Text of the Rules and the Procedures, of the Service Guide for the DTC Canadian-Link Service and the DTC Operational Arrangements Relating to the Elimination of the Canadian Dollar Settlement Feature of the Canadian-Link Service
Comments due: August 10, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2021-013 | ||
| 34-92379 | Jul. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework
Comments due: August 9, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2021-011 | ||
| 34-92342 | Jul. 7, 2021 | Notice of Filing of Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes
Comments due: August 3, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-010 | ||
| 34-92339 | Jul. 7, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Reorganizations Service Guide
Comments due: August 3, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| Second Quarter | ||
| SR-DTC-2021-005 | ||
| 34-92249 | Jun. 24, 2021 | Notice of Filing of and Immediate Effectiveness of Proposed Rule Change to Modify the DTC Settlement Service Guide and the Form of DTC Pledgee's Agreement
Comments due: July 21, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-009 | ||
| 34-92198 | Jun. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Enhanced Clarity for Deadlines and Processing Times
Comments due: July 14, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-008 | ||
| 34-92125 | Jun. 8, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Distributions Guide to Accommodate Participants' Tax Reporting and Withholding Obligations
Comments due: July 6, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2021-007 | ||
| 34-91736 | Apr. 30, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to update the DTC Corporate Actions Distributions Service Guide
Comments due: May 27, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2021-006 | ||
| 34-91635 | Apr. 22, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the Security Holder Tracking Service
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-DTC-2021-002 | ||
| 34-91587 | Apr. 16, 2021 | Order Approving Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Additional File Nos.: SR-FICC-2021-001, SR-NSCC-2021-003 |
| First Quarter | ||
| SR-DTC-2021-004 | ||
| 34-91429 | Mar. 29, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Recovery & Wind-down Plan
Comments due: April 23, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-003 | ||
| 34-91336 | Mar. 16, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the Requirement for Participants to Submit Monthly Position Confirmations and Clarify Participant Obligation to Reconcile Activity on a Regular Basis
Comments due: April 12, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-002 | ||
| 34-91291 | Mar. 10, 2021 | Notice of Filing of a Proposed Rule Change to Revise the Clearing Agency Investment Policy
Comments due: April 6, 2021 Comments received are available for this proposal. |
| SR-DTC-2021-001 | ||
| 34-91098 | Feb. 10, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add New Fees for DTC's Money Market Instrument Program
Comments due: March 10, 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 |
| 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 |
File Number List for 2021
| Release No. | Date | Details |
|---|---|---|
| SR-DTC-2021-018 | ||
| 34-93885 | Dec. 30, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Reorganizations Guide and the Fee Guide
Comments due: January 26, 2022 Additional Materials: Exhibit 5 |
| SR-DTC-2021-017 | ||
| 34-95615 | Aug. 26, 2022 | Order Approving of Proposed Rule Change to Enhance Capital Requirements and Make Other Changes |
| 34-95143 | Jun. 23, 2022 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Enhance Capital Requirements and Make Other Changes |
| 34-94495 | Mar. 23, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Enhance Capital Requirements and Make Other Changes
Comments due: April 20, 2022 Rebuttal comments due: May 4, 2022 Comments received are available for this proposal. |
| 34-94067 | Jan. 26, 2022 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Enhance Capital Requirements and Make Other Changes |
| 34-93854 | Dec. 22, 2021 | Notice of Filing of Proposed Rule Change to Enhance Capital Requirements and Make Other Changes
Comments due: January 19, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-016 | ||
| 34-93669 | Nov. 24, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Certain Revisions and Clarifications to the Rules
Comments due: December 21, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2021-015 | ||
| 34-93442 | Oct. 28, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend DTC's Procedures and Make Clarifying Changes to the DTC Rules
Comments due: November 24, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2021-014 | ||
| 34-94538 | Mar. 29, 2022 | Notice of Withdrawal of a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation |
| 34-94167 | Feb. 7, 2022 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation |
| 34-93533 | Nov. 5, 2021 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
Comments due: December 3, 2021 Rebuttal comments due: December 17, 2021 |
| 34-92861 | Sep. 2, 2021 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation |
| 34-92572 | Aug. 5, 2021 | Notice of Filing of a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-DTC-2021-013 | ||
| 34-92379 | Jul. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework
Comments due: August 9, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2021-012 | ||
| 34-92410 | Jul. 14, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consisting of Modifications to the Text of the Rules and the Procedures, of the Service Guide for the DTC Canadian-Link Service and the DTC Operational Arrangements Relating to the Elimination of the Canadian Dollar Settlement Feature of the Canadian-Link Service
Comments due: August 10, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2021-011 | ||
| 34-93279 | Oct. 8, 2021 | Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes |
| 34-92748 | Aug. 25, 2021 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes |
| 34-92342 | Jul. 7, 2021 | Notice of Filing of Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes
Comments due: August 3, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-010 | ||
| 34-92339 | Jul. 7, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Reorganizations Service Guide
Comments due: August 3, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-009 | ||
| 34-92198 | Jun. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Enhanced Clarity for Deadlines and Processing Times
Comments due: July 14, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-008 | ||
| 34-92125 | Jun. 8, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Distributions Guide to Accommodate Participants' Tax Reporting and Withholding Obligations
Comments due: July 6, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2021-007 | ||
| 34-91736 | Apr. 30, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to update the DTC Corporate Actions Distributions Service Guide
Comments due: May 27, 2021 Additional Materials: Exhibit 5 |
| SR-DTC-2021-006 | ||
| 34-91635 | Apr. 22, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the Security Holder Tracking Service
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-DTC-2021-005 | ||
| 34-92249 | Jun. 24, 2021 | Notice of Filing of and Immediate Effectiveness of Proposed Rule Change to Modify the DTC Settlement Service Guide and the Form of DTC Pledgee's Agreement
Comments due: July 21, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-004 | ||
| 34-91429 | Mar. 29, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Recovery & Wind-down Plan
Comments due: April 23, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-003 | ||
| 34-91336 | Mar. 16, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the Requirement for Participants to Submit Monthly Position Confirmations and Clarify Participant Obligation to Reconcile Activity on a Regular Basis
Comments due: April 12, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2021-002 | ||
| 34-91587 | Apr. 16, 2021 | Order Approving Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Additional File Nos.: SR-FICC-2021-001, SR-NSCC-2021-003 |
| 34-91291 | Mar. 10, 2021 | Notice of Filing of a Proposed Rule Change to Revise the Clearing Agency Investment Policy
Comments due: April 6, 2021 Comments received are available for this proposal. |
| SR-DTC-2021-001 | ||
| 34-91098 | Feb. 10, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add New Fees for DTC's Money Market Instrument Program
Comments due: March 10, 2021 Additional Materials: Exhibit 5 |