The Depository Trust Company (DTC) Rulemaking
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Self-Regulatory Organization Rulemaking Table
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File Number
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SRO Organization
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Details
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|---|---|---|---|---|
| Release Number:34-96586 | SEC Issue Date:Dec 27, 2022 | File Number:SR-DTC-2022-014 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Guide Comments Due: January 24, 2023 See Also - Exhibit 3, Exhibit 5 Submit a Comment on SR-DTC-2022-014
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| Release Number:34-96543 | SEC Issue Date:Dec 20, 2022 | File Number:SR-DTC-2022-013 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Guide and the Fee Guide Comments Due: January 17, 2023 See Also - Exhibit 5 |
| Release Number:34-96555 | SEC Issue Date:Dec 20, 2022 | File Number:SR-NSCC-2022-013, SR-FICC-2022-008, SR-DTC-2022-011 | SRO Organization:National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) |
Details: 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 |
| Release Number:34-96427 | SEC Issue Date:Dec 1, 2022 | File Number:SR-DTC-2022-012 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Distributions Guide Comments Due: December 28, 2022 See Also - Exhibit 3, Exhibit 5 |
| Release Number:34-96345 | SEC Issue Date:Nov 17, 2022 | File Number:SR-NSCC-2022-006, SR-FICC-2022-004, SR-DTC-2022-006 | SRO Organization:National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) |
Details: Order Granting Proposed Rule Changes To Amend the Stress Testing Framework and Liquidity Risk Management Framework |
| Release Number:34-96211 | SEC Issue Date:Nov 2, 2022 | File Number:SR-DTC-2022-011 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 See Also - Exhibit 3, Exhibit 5 Submit a Comment on SR-DTC-2022-011 |
| Release Number:34-96060 | SEC Issue Date:Oct 13, 2022 | File Number:SR-DTC-2022-010 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 See Also - Exhibit 5 |
| Release Number:34-95837 | SEC Issue Date:Sep 20, 2022 | File Number:SR-DTC-2022-009 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 See Also - Exhibit 5 |
| Release Number:34-95729 | SEC Issue Date:Sep 9, 2022 | File Number:SR-DTC-2022-006 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 Submit a Comment on SR-DTC-2022-006 |
| Release Number:34-95615 | SEC Issue Date:Aug 26, 2022 | File Number:SR-DTC-2021-017 | SRO Organization:The Depository Trust Company (DTC) |
Details: Order Approving of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes Comments Due: January 19, 2022 |