Legal & Regulatory

SEC Rule Filings

The Depository Trust Company (DTC) SEC Rule Filings

SR #	Subject	SEC Approval Notice
Rule Filing SR-DTC-2006-21	Modifying a DTC Charge Relating to a Pass-through Mechanis Relating to ADR	Release No. 34–55306; File No. SR–DTC– 2006–21 Federal Register: February 23, 2007 (Volume 72, Number 36)
Rule Filing SR-DTC-2006-20	2007 Participant Fee Changes	Release No. 34–55829; File No. SR–DTC– 2006–20 Federal Register: June 5, 2007 (Volume 72, Number 107)
Rule Filing SR-DTC-2006-19	The proposed rule change relates to a proposal by The Depository Trust Company	Release No. 34-55098; File No. SR-DTC-2006-19 Federal Register: January 19, 2007 (Volume 72, Number 12)
Rule Filing SR-DTC-2006-18	The purpose of the proposed rule filing submitted by The Depository Trust Company Filing Withdrawn
Rule Filing SR-DTC-2006-17	Security Holder Report Service	Release No. 34-55058; File No. SR-DTC-2006-17 Federal Register: January 16, 2007 (Volume 72, Number 9)
Rule Filing SR-DTC-2006-16	Update and Restatement of FAST adn DRS requirements and related rules provisions Filing Amendment 4 Filing Amendment 3 Filing Amendment 2 Filing Amendment 1
Rule Filing SR-DTC-2006-15	Amendment to DTC Rule 30 - CDS Link	Release No. 34-55239; File No. SR-DTC-2006-15 Federal Register: February 13, 2007 (Volume 72, Number 29)
Rule Filing SR-DTC-2006-14	DTC Preferred Stock	Release No. 34-54775; File No. SR-DTC-2006-14 Federal Register: November 27, 2006 (Volume 71, Number 227)
Rule Filing SR-DTC-2006-13	Clarification of DTC OFAC Deposit Certification Procedures	Release No. 34-54902; File No. SR-DTC-2006-13 Federal Register: December 14, 2006 (Volume 71, Number 240)
Rule Filing SR-DTC-2006-12	Administrative update to LENS service	Release No. 34-54408; File No. SR-DTC-2006-12 Federal Register: September 13, 2006 (Volume 71, Number 177)
Rule Filing SR-DTC-2006-11	DTC IMS Real-time link to Omgeo's TradeSuite System Filing Amendment	Release No. 34-54701; File No. SR-DTC-2006-11 Federal Register: November 9, 2006 (Volume 71, Number 217)
Rule Filing SR-DTC-2006-10	Update DTC's By-Laws - President shall serve as CEO	Release No. 34-54173; File Nos. SR-DTC-2006-10, SR-FICC-2006-09, and SR-NSCC-2006-08 Federal Register: July 28, 2006 (Volume 71, Number 145)
Rule Filing SR-DTC-2006-09	Incorporation of terms of certain participant agreements relating to the Custody Service into the Custody Service Guide Filing Amendment	Release No. 34-54367; File No. SR-DTC-2006-09 Federal Register: September 1, 2006 (Volume 71, Number 170)
Rule Filing SR-DTC-2006-08	Pass-through of ADR Agent Fees	Release No. 34-53970; File No. SR-DTC-2006-08 Federal Register: June 16, 2006 (Volume 71, Number 116)
Rule Filing SR-DTC-2006-07	DTC Participant intends to wind down its activities Filing Amendment	Release No. 34-55365; File No. SR-DTC-2006-07 Federal Register: March 8, 2007 (Volume 72, Number 45)
Rule Filing SR-DTC-2006-06	SR 2006-06 SMART/Track for Buy-Ins-Retransmittals	Release No. 34-53810; File No. SR-DTC-2006-06 Federal Register: May 23, 2006 (Volume 71, Number 99)
Rule Filing SR-DTC-2006-05	DRS Centralized Billing for Transfer Agent	Release No. 34-53679; File No. SR-DTC-2006-05 Federal Register: April 26, 2006 (Volume 71, Number 80)
Rule Filing SR-DTC-2006-04	Purchase of DTCC Common Stock	Release No. 34-53395; File Nos. SR-DTC-2006-04, SR-FICC-2006-01, and SR-NSCC-2006-01) [Federal Register]
Rule Filing SR-DTC-2006-03	SR 2006-03 To amend DTC's Procedures with respect to Surveillance of Participants.	Release No. 34-53655; File No. SR-DTC-2006-03 Federal Register: April 20, 2006 (Volume 71, Number 76)
Rule Filing SR-DTC-2006-01	SR-DTC-2006-01 Participant Exchange (PEX) System and SMART/Track for Buy-ins (closure of CNS Buy-ins on PEX).	Release No. 34-53503; SR-DTC-2006-01 Federal Register: March 27, 2006 (Volume 71, Number 58)