LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • DTC-2018-009
  • DTC
  • Amend the Clearing Agency Frameworks

  • Federal Release:
    Release No. 34-84458; File Nos. SR-DTC-2018-009; SR-FICC-2018-010; SR-NSCC-2018-009
    (October 15, 2018)

  • DTC-2018-007
  • DTC
  • The proposal would streamline the process for reducing payment to a Participant of a dividend or interest with respect to an equity or debt security, when such Participant held, on the record date, treasury shares or repurchased debt securities of the issuer.

  • Federal Release:
    Release No. 34-83871; File No. SR-DTC-2018-007
    (August 17, 2018)

  • DTC-2018-002
  • DTC
  • Proposed rule change to (1) amend the Policy Statements on the Admission of Participants and (2) implement fees relating to (a) the submission of membership and pledgee applications and (2) legal opinions relating to foreign applicants.

  • Federal Release:

    Release No. 34-83544; File No. SR-DTC-2018-002
    (June 28, 2018)

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
Download Checked Items
1 2 3 4 5 6 7 8 9 10
dtccdotcom