Legal & Regulatory

SEC Rule Filings

The Depository Trust Company (DTC) SEC Rule Filings

SR #	Subject	SEC Approval Notice
Rule Filing SR-DTC-2005-22	Revision of Participant Fees of DTC	Release No. 34-53463; File No. SR-DTC-2005-22 Federal Register: March 17, 2006 (Volume 71, Number 52)
Rule Filing SR-DTC-2005-21	Revision of the Fees of DTC as they relate to Transfer certain services provided to non-participants. Filing Amendment 1 Filing Amendment 2 Filing Amendment 3 Filing Amendment 4	Release No. 34-53471; File No. SR-DTC-2005-21 Federal Register: March 17, 2006 (Volume 71, Number 52)
Rule Filing SR-DTC-2005-20	Transfer of DTAX from DTC to DTCC Solutions	Release No. 34-52977; File No. SR-DTC-2005-20
Rule Filing SR-DTC-2005-19	Smart Track for Buyins	Release No. 34-53032; File No. SR-DTC-2005-19 Federal Register: Monday, January 9, 2006 (Vol. 71, No. 5)
Rule Filing SR-DTC-2005-18	Risk Controls relating to maturity processing of pledged MMI	Release No. 34-52852; File No. SR-DTC-2005-18 Federal Register: December 5, 2005 (Volume 70, Number 232)
Rule Filing SR-DTC-2005-17	RDS Enhancement	Release No. 34-52785; File No. SR-DTC-2005-17 Federal Register: November 25, 2005 (Vol. 70, No. 226)
Rule Filing SR-DTC-2005-16	Purchase shares of the common stock of DTCC	Release No. 34-52922; File Nos. SR-DTC-2005-16, SR-FICC-2005-19, and SR-NSCC-2005-14 Federal Register: December 14, 2005 (Vol. 70, No. 239)
Rule Filing SR-DTC-2005-15	The Elimination of Contra CUSIP Numbers for VRDO Partial Calls	Release No. 34-52653; File No. SR-DTC-2005-15
Rule Filing SR-DTC-2005-14	OFAC (DTC's compliance with requirements of applicable laws, including economic sanctions and embargo programs administered under regs issued by OFAC) Amendment 1 Amendment 2	Release No. 34-54120; File No. SR-DTC-2005-14
Rule Filing SR-DTC-2005-13	The Depository Trust Company to eliminate its transfer agent drop service	Release No. 34-52509; File No. SR-DTC-2005-13
Rule Filing SR-DTC-2005-12	Claify the scop and update the description of its Security Position reports	Release No. 34-52393; File No. SR-DTC-2005-12
Rule Filing SR-DTC-2005-11	Establish an insurance program	Release No. 34-52422; No. SR-DTC-2005-11
Rule Filing SR-DTC-2005-10	Claify certain procedures pertaining to DTC-2005-09	Release No. 34-52524; No. SR-DTC-2005-10
Rule Filing SR-DTC-2005-09	Destruction of PREMed Issues
Rule Filing SR-DTC-2005-08	Proposed rule change regarding DTC's proposed Canadian Link Service Filing Amendment	Release No. 34-52784; File No. SR-DTC-2005-08 September 26, 2005
Rule Filing SR-DTC-2005-07	Proposed rule change relates to the expansion of DTC's Inventory Management	Release No. 34-52450; File No. SR-DTC-2005-07 Federal Register: September 22, 2005 (Vol. 70, No. 183)
Rule Filing SR-DTC-2005-06	SMART/Track for Agency Lending Disclosure	Release No. 34-52104; File No. SR-DTC-2005-06 Federal Register: July 28, 2005 (Vol. 70, No. 144)
Rule Filing SR-DTC-2005-05	Amend DTC's Procedures - Surveillance of Participants	Release No. 34-53679; File No. SR-DTC-2005-05 Federal Register: April 26, 2005 (Volume 71, Number 80)
Rule Filing SR-DTC-2005-04	Proposal by DTC to Implement a Fine for Designated Firms Who are Required to Complete Business Connectivity Testing and Fail to Do So	Release No. 34-52446; File Nos. SR-DTC-2005-04, SR-FICC-2005-10, and SR-NSCC-2005-05 Federal Register: September 21, 2005 (Vol. 70, No. 182)
Rule Filing SR-DTC-2005-03	Proposed Rule Change by DTC Relating to the Modification of its Fee Structure	Release No. 34-51870; File No. SR-DTC-2005-03 Federal Register: June 24, 2005 (Vol. 70, No. 121)
Rule Filing SR-DTC-2005-02	Establishing a Fee Relating to Eligibility for...Open-Ended Funds	Release No. 34-51290; File No. SR-DTC-2005-02 Federal Register: March 8, 2005 (Vol. 70, No. 44)
Rule Filing SR-DTC-2005-01	Open-Ended Funds Deposited at DTC	Release No. 34-51289; File No. SR-DTC-2005-01 Federal Register: March 8, 2005 (Vol. 70, No. 44)