LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • DTC-2017-016
  • DTC
  • To adopt the Clearing Agency Securities Valuation Framework.

  • Federal Release:
    (Release No. 34-82006; File Nos. SR-DTC-2017-016; SR-NSCC-2017-016; SR-FICC-2017-020)
    October 31, 2017

  • DTC-2017-014
  • DTC
  • To adopt the Clearing Agency Operational Risk Management Framework.

  • Federal Release:
    (Release No. 34-81745; File Nos. SR-DTC-2017-014; SR-NSCC-2017-013; SR-FICC-2017-017)
    (September 28, 2017)

  • DTC-2017-011
  • DTC
  • The Depository Trust Company is proposing to amend the Reorganizations Service Guide and the Operational Arrangements to establish the requirement that tabulation agents use ATOP to process ATOP-eligible consent solicitation events for BEO Securities.

  • Federal Release:
    Release No. 34- 81096; File No. SR-DTC-2017-011
    (July 7, 2017)
  • DTC-2017-008
  • DTC
  • Adopt the Clearing Agency Model Risk Management Framework.

  • Federal Release:
    (Release No. 34-81485; File Nos. SR-DTC-2017-008; SR-FICC-2017-014; SR-NSCC-2017-008)
    (August 25, 2017)
  • DTC-2017-007
  • DTC
  • Proposed rule change to clarify and provide enhanced transparency with respect to the description in the DTC Settlement Service Guide of the calculation of Required Participants Fund Deposits and adjustments to Required Participants Fund Deposits.

  • Federal Release:
    Release No. 34-80762; File No. SR-DTC-2017-007
    (May 24, 2017)
SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
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