DTC Tweaks Rules to Match SEC's Securities Exchange Act Provision
Published Date: 5/8/2026
Notice
Summary
The Depository Trust Company (DTC) is updating its rules to match a specific federal rule called 17ad-22(e)(19). This change affects financial institutions that use DTC’s services and helps keep everything clear and consistent. The update took effect right away on April 28, 2026, with no extra costs involved.
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Analyzed Economic Effects
1 provisions identified: 1 benefits, 0 costs, 0 mixed.
DTC Access to Indirect Participant Records
If your firm is a DTC Participant or uses a Participant to access DTC services, DTC amended Rule 2 to permit DTC to inspect and obtain books, records, and information relating to a Participant's relationship with persons on whose behalf the Participant obtains DTC services. The change took effect immediately on April 28, 2026, is intended to help DTC identify, monitor, and manage risks from indirect participants to comply with Rule 17ad-22(e)(19), and DTC states it will be applied uniformly to all Participants with no impact on competition or extra costs.
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