LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • DTC-2020-019
  • DTC
  • Update the Distributions Service Guide.

  • Federal Release:
    Release No. 34-91063; File No. SR-DTC-2020-019
    (February 4, 2021)
  • DTC-2020-015
  • DTC
  • Amend the Clearing Agency Operational Risk Management Framework.

  • Federal Release:
    Release No. 34-90626; File Nos. SR-DTC-2020-015; SR-FICC-2020-016; SR-NSCC-2020-019
    (December 10, 2020)

  • DTC-2020-018
  • DTC
  • Amend the Clearing Agency Liquidity Risk Management Framework.

  • Federal Release:
    Release No. 34-90649; File Nos. SR-DTC-2020-018; SR-FICC-2020-018; SR-NSCC-2020-021
    (December 11, 2020)

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