The Depository Trust Company (DTC) Rulemaking - Archive 2022
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Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
The Depository Trust Company (DTC) File Number List for 2022
Additional Archives
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Chronological List for 2022
(Search any column)
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-DTC-2022-014 | ||
| 34-96586 | Dec. 27, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Guide
Comments due: January 24, 2023 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-DTC-2022-011 | ||
| 34-96555 | Dec. 20, 2022 | Order Granting Proposed Rule Changes to Amend Liquidity Risk Management Framework to Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes
Additional File Nos.: SR-FICC-2022-008, SR-NSCC-2022-013 |
| SR-DTC-2022-013 | ||
| 34-96543 | Dec. 20, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Reorganizations Guide and the Fee Guide
Comments due: January 17, 2023 Additional Materials: Exhibit 5 |
| SR-DTC-2022-012 | ||
| 34-96427 | Dec. 1, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Distributions Guide
Comments due: December 28, 2022 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-DTC-2022-006 | ||
| 34-96345 | Nov. 17, 2022 | Order Granting Proposed Rule Changes to Amend the Stress Testing Framework and Liquidity Risk Management Framework
Additional File Nos.: SR-FICC-2022-004, SR-NSCC-2022-006 |
| SR-DTC-2022-011 | ||
| 34-96211 | Nov. 2, 2022 | Notice of Filing of Proposed Rule Change to Amend the Clearing Agency Liquidity Risk Management Framework to Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes
Comments due: November 29, 2022 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-DTC-2022-010 | ||
| 34-96060 | Oct. 13, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Procedures Set Forth in the Custody Guide and the Underwriting Guide Including the Policy Statement on the Eligibility of Foreign Securities
Comments due: November 9, 2022 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-DTC-2022-009 | ||
| 34-95837 | Sep. 20, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Clarifications to the DTC Rules Concerning the Admission of Participants to DTC's Premises and DTC's Authority to Impose Fines
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-DTC-2022-006 | ||
| 34-95729 | Sep. 9, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Stress Testing Framework and Liquidity Risk Management Framework
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| SR-DTC-2021-017 | ||
| 34-95615 | Aug. 26, 2022 | Order Approving of Proposed Rule Change to Enhance Capital Requirements and Make Other Changes |
| SR-DTC-2022-006 | ||
| 34-95282 | Jul. 14, 2022 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend the Stress Testing Framework and Liquidity Risk Management Framework |
| SR-DTC-2022-004 | ||
| 34-95232 | Jul. 8, 2022 | Order Approving a Proposed Rule Change to Require Applicants, Participants, and Pledgees to Maintain or Upgrade Their Network or Communications Technology |
| SR-DTC-2022-008 | ||
| 34-95231 | Jul. 8, 2022 | Notice of Filing of Immediate Effectiveness of a Proposed Rule Change to Amend the DTC Distributions Guide to Enhance the Tax Event Announcements Feature of the Distributions Service and Make Related Clarifying Changes
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 2, Exhibit 3, Exhibit 5 |
| SR-DTC-2022-007 | ||
| 34-95197 | Jul. 5, 2022 | 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 |
| Second Quarter | ||
| 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 |
| SR-DTC-2022-006 | ||
| 34-95080 | Jun. 9, 2022 | Notice of Filing of Proposed Rule Change to Amend the Stress Testing Framework and Liquidity Risk Management Framework
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 3, Exhibit 5a and 5b Comments received are available for this proposal. |
| SR-DTC-2022-005 | ||
| 34-95017 | Jun. 1, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Certain Fees Charged to Applicants
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-DTC-2022-002 | ||
| 34-95012 | May 31, 2022 | Order Approving the 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-2022-004 | ||
| 34-94975 | May 24, 2022 | Notice of Filing of a Proposed Rule Change to Require Applicants and Members to Maintain or Upgrade Their Network or Communications Technology
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-DTC-2022-003 | ||
| 34-94726 | Apr. 14, 2022 | Notice of Filing of and Immediate Effectiveness of Proposed Rule Change to Amend the Reorganizations Service Guide and the Operational Arrangements
Comments due: May 11, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2022-002 | ||
| 34-94692 | Apr. 12, 2022 | 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: May 9, 2022 Additional Materials: Exhibit 5 |
| First Quarter | ||
| 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 |
| SR-DTC-2021-017 | ||
| 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. |
| SR-DTC-2022-001 | ||
| 34-94273 | Feb. 17, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework
Comments due: March 17, 2022 Comments received are available for this proposal. |
| SR-DTC-2021-014 | ||
| 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 |
| SR-DTC-2021-017 | ||
| 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 |
File Number List for 2022
| Release No. | Date | Details |
|---|---|---|
| SR-DTC-2022-014 | ||
| 34-96586 | Dec. 27, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Guide
Comments due: January 24, 2023 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-DTC-2022-013 | ||
| 34-96543 | Dec. 20, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Reorganizations Guide and the Fee Guide
Comments due: January 17, 2023 Additional Materials: Exhibit 5 |
| SR-DTC-2022-012 | ||
| 34-96427 | Dec. 1, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Distributions Guide
Comments due: December 28, 2022 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-DTC-2022-011 | ||
| 34-96555 | Dec. 20, 2022 | Order Granting Proposed Rule Changes to Amend Liquidity Risk Management Framework to Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes
Additional File Nos.: SR-FICC-2022-008, SR-NSCC-2022-013 |
| 34-96211 | Nov. 2, 2022 | Notice of Filing of Proposed Rule Change to Amend the Clearing Agency Liquidity Risk Management Framework to Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes
Comments due: November 29, 2022 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-DTC-2022-010 | ||
| 34-96060 | Oct. 13, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Procedures Set Forth in the Custody Guide and the Underwriting Guide Including the Policy Statement on the Eligibility of Foreign Securities
Comments due: November 9, 2022 Additional Materials: Exhibit 5 |
| SR-DTC-2022-009 | ||
| 34-95837 | Sep. 20, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Clarifications to the DTC Rules Concerning the Admission of Participants to DTC's Premises and DTC's Authority to Impose Fines
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-DTC-2022-008 | ||
| 34-95231 | Jul. 8, 2022 | Notice of Filing of Immediate Effectiveness of a Proposed Rule Change to Amend the DTC Distributions Guide to Enhance the Tax Event Announcements Feature of the Distributions Service and Make Related Clarifying Changes
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 2, Exhibit 3, Exhibit 5 |
| SR-DTC-2022-007 | ||
| 34-95197 | Jul. 5, 2022 | 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-2022-006 | ||
| 34-96345 | Nov. 17, 2022 | Order Granting Proposed Rule Changes to Amend the Stress Testing Framework and Liquidity Risk Management Framework
Additional File Nos.: SR-FICC-2022-004, SR-NSCC-2022-006 |
| 34-95729 | Sep. 9, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Stress Testing Framework and Liquidity Risk Management Framework
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-95282 | Jul. 14, 2022 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend the Stress Testing Framework and Liquidity Risk Management Framework |
| 34-95080 | Jun. 9, 2022 | Notice of Filing of Proposed Rule Change to Amend the Stress Testing Framework and Liquidity Risk Management Framework
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 3, Exhibit 5a and 5b Comments received are available for this proposal. |
| SR-DTC-2022-005 | ||
| 34-95017 | Jun. 1, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Certain Fees Charged to Applicants
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-DTC-2022-004 | ||
| 34-95232 | Jul. 8, 2022 | Order Approving a Proposed Rule Change to Require Applicants, Participants, and Pledgees to Maintain or Upgrade Their Network or Communications Technology |
| 34-94975 | May 24, 2022 | Notice of Filing of a Proposed Rule Change to Require Applicants and Members to Maintain or Upgrade Their Network or Communications Technology
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-DTC-2022-003 | ||
| 34-94726 | Apr. 14, 2022 | Notice of Filing of and Immediate Effectiveness of Proposed Rule Change to Amend the Reorganizations Service Guide and the Operational Arrangements
Comments due: May 11, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-DTC-2022-002 | ||
| 34-95012 | May 31, 2022 | Order Approving the 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 |
| 34-94692 | Apr. 12, 2022 | 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: May 9, 2022 Additional Materials: Exhibit 5 |
| SR-DTC-2022-001 | ||
| 34-94273 | Feb. 17, 2022 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework
Comments due: March 17, 2022 Comments received are available for this proposal. |