LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • DTC-2018-004
  • DTC
  • Proposed rule change to clarify the DTC Underwriting Service Guide

  • DTC-2017-021
  • DTC
  • To adopt the DTC Recovery and Wind-down Plan and Related Rules.

  • DTC-2017-803
  • DTC
  • To adopt the DTC Recovery and Wind-down Plan and Related Rules.

  • DTC-2017-022
  • DTC
  • Amend the loss allocation rules and make other changes.
  • 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)

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
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