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Federal Register / Vol. 86, No. 210 / Wednesday, November 3, 2021 / Notices Electronic Comments Use the Commissions internet comment form http www.sec.gov/
rules/sro.shtml; or Send an email to rule-comments@
sec.gov. Please include File Number SR
Phlx202166 on the subject line.
Paper Comments Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 205491090.

khammond on DSKJM1Z7X2PROD with NOTICES

All submissions should refer to File Number SRPhlx202166. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commissions internet website http www.sec.gov/
rules/sro.shtml. Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for website viewing and printing in the Commissions Public Reference Room, 100 F Street NE, Washington, DC 20549 on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of the filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change.
Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SRPhlx202166, and should be submitted on or before November 24, 2021.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.11
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202123922 Filed 11221; 8:45 am BILLING CODE 801101P

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SECURITIES AND EXCHANGE
COMMISSION
Release No. 3493442; File No. SRDTC
2021015

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend DTCs Procedures and Make Clarifying Changes to the DTC Rules October 28, 2021.

Pursuant to Section 19b1 of the Securities Exchange Act of 1934
Act 1 and Rule 19b4 thereunder,2
notice is hereby given that on October 18, 2021, The Depository Trust Company DTC filed with the Securities and Exchange Commission Commission the proposed rule change as described in Items I, II and III
below, which Items have been prepared by the clearing agency. DTC filed the proposed rule change pursuant to Section 19b3A of the Act 3 and Rule 19b4f6 thereunder.4 The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
I. Clearing Agencys Statement of the Terms of Substance of the Proposed Rule Change The proposed rule change consists of amendments to the DTC Rules, By-Laws and Organization Certificate Rules in order to i amend and clarify certain notice provisions relating to proposed rule changes and changes to DTCs Procedures, ii eliminate obsolete Rules, and iii make technical and clarifying changes to the Rules, as discussed more fully below.5
II. Clearing Agencys Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the clearing agency included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The clearing agency has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements.
1 15

U.S.C. 78sb1.
CFR 240.19b4.
3 15 U.S.C. 78sb3A.
4 17 CFR 240.19b4f6.
5 Each term not otherwise defined herein has its respective meaning as set forth in the Rules, which includes, but is not limited to, the By-Laws of DTC
By-Laws, available at http www.dtcc.com/
legal/rules-and-procedures.aspx.
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A Clearing Agencys Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The purpose of the proposed rule change is to i amend and clarify certain notice provisions relating to proposed rule changes and changes to DTCs Procedures, ii eliminate obsolete Rules, and iii make technical and clarifying changes to the Rules, as discussed more fully below.
i Amend and Clarify Certain Notice Provisions Pursuant to the proposed rule change, DTC would amend and clarify certain notice provisions relating to proposed rule changes and changes to DTCs Procedures. Specifically, in Rule 19
Notice of Proposed Rule Changes, DTC
is proposing to replace immediately with promptly in order to provide that DTC will promptlybut might not immediatelynotify Participants, Pledgees, and registered clearing agencies of any proposed rule changes.
DTC is also proposing to delete the requirement in Rule 27 Procedures that DTC provide Participants and Pledgees with ten Business Days notice of any amendment to the Procedures.
DTC believes that the foregoing requirements are not necessary or practical because, as explained below, Participants and Pledgees and registered clearing agencies, as applicable are already provided adequate notice of any changes or proposed changes to DTCs Rules or Procedures through the rule change process.
As a clearing agency registered with the Commission, DTCs Rules and Procedures are adopted and enforced pursuant to a clear framework under the Act. Under the rule change process, generally, before a proposed rule change may take effect, i the change and an explanatory statement must be filed with the Commission and posted by DTC on its website, ii notice of the filing and the substantive terms or description of the change must be published by the Commission in the Federal Register for public review and comment, and iii the Commission must approve the change or the change must otherwise be permitted to take effect. DTCs Rules are filed with and reviewed by the Commission. As a clearing agency registered under Section 17A of the Act,6 a self-regulatory organization subject to Section 19 of the 6 15

U.S.C. 78q1.

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