*Letters

SIA Submits Comments to the SEC on the Depository Trust Company Proposed Changes to Procedures

Published on:
December 7, 2005

The Securities Industry Association (SIA)*provides comments to the Securities and Exchange Commission (SEC)on the Depository Trust Company’s (DTC’s) proposed rule change relating to compliance with regulations administered by the Office of Foreign Assets Control (OFAC), File No. SR-DTC-2005-14. The DTC proposal would revise procedures for the DTC Deposit Service, Custody Service, and Withdrawals-by-Transfer. SIA’s made recommendations to enhance the effects of the rule changes and prevent any disruptions to the orderly operation of the securities markets.

*SIFMA is the product of the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.

Details

Download

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

Get the latest trends, stats, and research on financial markets and securities.