Legal & Regulatory
SEC Rule Filings
The Depository Trust Company (DTC) SEC Rule Filings
| SR # | Subject | SEC Approval Notice |
|---|---|---|
| Rule Filing SR-DTC-2007-17 |
The proposed rule change consists of revisions to the Depository Trust Company's ("DTC") Fee Schedule |
Release No. 34–57193; File No. SR–DTC–2007–17
Federal Register: January 30, 2008 (Vol. 73, No. 20) |
| Rule Filing SR-DTC-2007-16 |
DTC is proposing to amend its Policy Statement on the Admission of Non-U.S. Entities as Direct Depository Participants (the Policy Statement) to eliminate the requirements for Special Financial Conditions. |
Release No. 34-58345; File No. SR-DTC-2007-16
Federal Register: August 19, 2008 (Volume 73, Number 161) |
| Rule Filing SR-DTC-2007-15 |
The rule change (filed pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934) modifies The Depository Trust Company’s (“DTC”) stock loan and repo process. In order to aid participants in the tracking of their stock loan and repo transactions, DTC will provide warning messages to participants that will advise them if they need to take any corrective action to complete that transaction. |
Release No. 34–57071; File No. SR–DTC– 2007–15 Federal Register: January 7, 2008 (Vol. 73, No. 4) |
| Rule Filing SR-DTC-2007-14 |
Proposed Rule Filing to amend the Rules of DTC to provide for the settlement of institutional transactions in conjunction with National Securities Clearing Corporation through a service called ID Net. |
Release No. 34-57901; File Nos. SR-DTC-2007-14 and SR-NSCC-2007-14
June 2, 2008 |
| Rule Filing SR-DTC-2007-13 |
The proposed rule filing would clarify that the Foreign Currency Payment Option would be made available in respect of U.S. denominated securities as well as foreign denominated securities. |
Release No. 34-57298; File No. SR-DTC-2007-13
Federal Register |
| Rule Filing SR-DTC-2007-12 |
By this filing, The Depository Trust Company proposes to open an omnibus account at Euroclear Bank to facilitate the repositioning of inventory between European markets and U.S. markets for securities listed in multiple marketplaces. |
Release No. 34-58055; File No. SR-DTC-2007-12
Federal Register: July 8, 2008 (Volume 73, Number 131) |
| Rule Filing SR-DTC-2007-11 |
Proposed Rule Change amends DTC's Operational Arrangements as it applies to Structured Securities |
Release No. 34-57542; File No. SR-DTC-2007-11
|
| Rule Filing SR-DTC-2007-10 |
Implement a new service - The New Issue Information Dissemination System (NIIDS) for municipal securities. |
Release No. 34-57768; File No. SR-DTC-2007-10
Federal Register: October 3, 2007, March 24, 2008, and April 16, 2008 |
| Rule Filing SR-DTC-2007-09 |
Amendments to DTC's Procedures with respect to:(i) the processing of certain voluntary events in ... |
Release No. 34-56538; File No. SR-DTC-2007-09
Federal Register: October 3, 2007 (Volume 72, Number 191) |
| Rule Filing SR-DTC-2007-08 |
NSS - Disbursement of credits to Participants for settlement purposes |
Release No. 34-56126; File No. SR-DTC-2007-08
Federal Register:August 1, 2007 (Vol. 72, No. 147) |
| Rule Filing SR-DTC-2007-07 |
Statutory Disqualification |
|
| Rule Filing SR-DTC-2007-06 |
Hearing Procedures |
Release No. 34-57406; File No. SR-DTC-2007-06
Federal Register: March 6, 2008 (Volume 73, Number 45) |
| Rule Filing SR-DTC-2007-05 |
Harmonization of Fines |
Release No. 34-57665; File No. SR-DTC-2007-05
Federal Register: April 22, 2008 (Volume 73, Number 78) |
| Rule Filing SR-DTC-2007-04 |
Policy Statement on the Eligibility of Foreign Securities |
Release No. 34-56277; File No. SR-DTC-2007-04
Federal Register: August 24, 2007 (Volume 72, Number 164) |
| Rule Filing SR-DTC-2007-03 |
Addition of a governing law clause to the Rules of DTC |
Release No. 34-55390; File No. SR-DTC-2007-03
[Federal Register] |
| Rule Filing SR-DTC-2007-02 |
SR-DTC-2007-02 - Fees in CDS Omnibus Account |
Release No. 34-55488; File No. SR-DTC-2007-02
Federal Register: March 23, 2007 (Volume 72, Number 56) |
| Rule Filing SR-DTC-2007-01 |
SR-DTC-2007-01 - CDS Clearing and Depository Services, Inc. Fees Filing Withdrawn
|