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:34-92198 | SEC Issue Date:Jun 16, 2021 | File Number:SR-DTC-2021-009 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Enhanced Clarity for Deadlines and Processing Times Comments Due: July 14, 2021 View Received Comments See Also - Exhibit 5 Submit a Comment on SR-DTC-2021-009
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| Release Number:34-92125 | SEC Issue Date:Jun 8, 2021 | File Number:SR-DTC-2021-008 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 See Also - Exhibit 5 |
| Release Number:34-91736 | SEC Issue Date:Apr 30, 2021 | File Number:SR-DTC-2021-007 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 See Also - Exhibit 5 |
| Release Number:34-91635 | SEC Issue Date:Apr 22, 2021 | File Number:SR-DTC-2021-006 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 See Also - Exhibit 5 |
| Release Number:34-91587 | SEC Issue Date:Apr 16, 2021 | File Number:SR-NSCC-2021-003, SR-FICC-2021-001, SR-DTC-2021-002 | SRO Organization:National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) |
Details: Order Approving Proposed Rule Changes To Revise the Clearing Agency Investment Policy Comments Due: April 6, 2021 View Received Comments |
| Release Number:34-91429 | SEC Issue Date:Mar 29, 2021 | File Number:SR-DTC-2021-004 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Recovery & Wind-Down Plan Comments Due: April 23, 2021 View Received Comments See Also - Exhibit 5 |
| Release Number:34-91336 | SEC Issue Date:Mar 16, 2021 | File Number:SR-DTC-2021-003 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 View Received Comments See Also - Exhibit 5 |
| Release Number:34-91291 | SEC Issue Date:Mar 10, 2021 | File Number:SR-DTC-2021-002 | SRO Organization:The Depository Trust Company (DTC) |
Details: Notice of Filing of a Proposed Rule Change To Revise the Clearing Agency Investment Policy Comments Due: April 6, 2021 View Received Comments |
| Release Number:34-91098 | SEC Issue Date:Feb 10, 2021 | File Number:SR-DTC-2021-001 | SRO Organization:The Depository Trust Company (DTC) |
Details: 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 See Also - Exhibit 5 |
| Release Number:34-91063 | SEC Issue Date:Feb 4, 2021 | File Number:SR-DTC-2020-019 | SRO Organization:The Depository Trust Company (DTC) |
Details: Order Approving a Proposed Rule Change To Update the Distributions Service Guide Comments Due: January 19, 2021 |