The Depository Trust Company (DTC) Rulemaking - Archive 2021

We encourage the public to submit comments on the following 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
First Quarter

The Depository Trust Company (DTC) File Number List for 2021

Additional Archives

Chronological List for 2021

(Search any column)
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
34-95143 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