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FICC Rulemaking Archive: 2013

We encourage the public to submit comments on the following Fixed Income Clearing Corporation (FICC; formerly Government Securities Clearing Corp.) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter

FICC File Number List for 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-FICC-2013-09
34-71091 Dec. 17, 2013 Order Approving Proposed Rule Change to Make the U.S. Department of the Treasury's Floating Rate Notes Eligible for Netting Service and GCF RepoŽ at FICC's Government Securities Division
See also: Notice: Rel. No. 34-70831

SR-FICC-2013-10
34-70925 Nov. 22, 2013 Notice of Filing of Proposed Rule Change to Establish the Minimum Financial Requirements for the Existing Membership Category of Registered Investment Company Netting Members in the Government Securities Division
Comments due: December 20, 2013
Comments received are available for this proposal.
See also: Order: Rel. No. 34-71265

SR-FICC-2013-09
34-70831 Nov. 7, 2013 Notice of Filing of Proposed Rule Change to Make the U.S. Department of the Treasury's Floating Rate Notes Eligible for Netting Service and GCF RepoŽ at FICC's Government Securities Division
Comments due: December 5, 2013
See also: Order: Rel. No. 34-71091
Third Quarter

SR-FICC-2013-08
34-70484 Sep. 24, 2013 Order Approving Proposed Rule Change Concerning the Mortgage-Backed Securities Division's Notification of Settlement Process
See also: Notice: Rel. No. 34-70232

SR-FICC-2013-08
34-70232 Aug. 19, 2013 Notice of Filing of Proposed Rule Change in Connection with the Notification of Settlement Process Used by the Mortgage-Backed Securities Division ("MBSD")
Comments due: September 13, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-70484

SR-FICC-2013-06
34-70068 Jul. 30, 2013 Order Approving Proposed Rule Change to Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF RepoŽ Service
See also: Notice: Rel. No. 34-69774

SR-FICC-2013-05
34-69972 Jul. 11, 2013 Order Approving Proposed Rule Change to Include trueEX LLC as a Designated Locked-In Trade Source Pursuant to the Rulebook of the Government Securities Division
See also: Notice: Rel. No. 34-69653
Second Quarter

SR-FICC-2013-06
34-69774 Jun. 17, 2013 Notice of Filing of Request to Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF RepoŽ Service
Comments due: July 12, 2013
See also: Order: Rel. No. 34-70068

SR-FICC-2013-02
34-69754 Jun. 13, 2013 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Include Options On Interest Rate Futures Contracts With Maturities Not Longer Than Two Years In The One-Pot Cross-Margining Program Between the Government Securities Division and New York Portfolio Clearing, LLC
See also: Notice: Rel. No. 34-69470

SR-FICC-2013-04
34-69740 Jun. 12, 2013 Order Approving Proposed Rule Change to the Government Securities Division Rules and the Mortgage-Backed Securities Division Clearing Rules in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
See also: Notice: Rel. No. 34-69495

SR-FICC-2013-03
34-69709 Jun. 6, 2013 Order Granting Approval of a Proposed Rule Change to Amend Mortgage-Backed Securities Division Rules Relating to Allocation of an Indemnity Claim Made in Connection with the Use of the Federal Reserve's National Settlement Service
See also: Notice: Rel. No. 34-69434

SR-FICC-2013-01
34-69708 Jun. 6, 2013 Order Granting Approval of a Proposed Rule Change to Amend the Mortgage-Backed Securities Division Rule to Reflect Recommendations of the Treasury Market Practice Group
See also: Notice: Rel. No. 34-69424

SR-FICC-2013-05
34-69653 May 29, 2013 Notice of Filing Proposed Rule Change to Include trueEX LLC as a Designated Locked-In Trade Source Pursuant to the Rulebook of the Government Securities Division
Comments due: June 25, 2013
See also: Order: Rel. No. 34-69972
Comments received are available for this proposal.

SR-FICC-2013-04
34-69495 May 2, 2013 Notice of Filing of Proposed Rule Change to the Government Securities Division Rules and the Mortgage-Backed Securities Division Clearing Rules in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
Comments due: May 29, 2013
See also: Order: Rel. No. 34-69740
* Submit comments on SR-FICC-2013-04

SR-FICC-2013-02
34-69470 Apr. 29, 2013 Notice of Filing of Proposed Rule Change to Include Options On Interest Rate Futures Contracts With Maturities Not Longer Than Two Years In The One-Pot Cross-Margining Program Between the Government Securities Division and New York Portfolio Clearing, LLC
Comments due: May 24, 2013
See also: Notice: Rel. No. 34-69754

SR-FICC-2013-03
34-69434 Apr. 23, 2013 Notice of Filing of Proposed Rule Change to Amend Mortgage-Backed Securities Division Rules Relating to Allocation of an Indemnity Claim Made in Connection with the Use of the Federal Reserve's National Settlement Service
Comments due: May 20, 2013
See also: Order: Rel. No. 34-69709

SR-FICC-2013-01
34-69424 Apr. 22, 2013 Notice of Filing of Proposed Rule Change Amending the Mortgage-Backed Securities Division Fails Charge Rule to Reflect Recommendation of the Treasury Market Practice Group
Comments due: May 20, 2013
See also: Order: Rel. No. 34-69708

600-23
34-69362 Apr. 11, 2013 Notice of Filing of Amended Application for Registration as a Clearing Agency
Comments due: June 3, 2013
* Submit comments on 600-23
See also: 
First Quarter

SR-FICC-2012-07
34-68555 Jan. 2, 2013 Order Approving Proposed Rule Change Relating to Enhancements that the Mortgage-Backed Securities Division Intends to Implement to its Services and Certain Other Clarifications and Corrections to its Rules
See also: Notice: Rel. No. 34-68245


FICC File Number List for 2013
Release No. Date Details

SR-FICC-2013-10
34-71265 Jan. 9, 2014 Order Approving Proposed Rule Change to Establish the Minimum Financial Requirements for the Existing Membership Category of Registered Investment Company Netting Members in the Government Securities Division
34-70925 Nov. 22, 2013 Notice of Filing of Proposed Rule Change to Establish the Minimum Financial Requirements for the Existing Membership Category of Registered Investment Company Netting Members in the Government Securities Division
Comments due: December 20, 2013
Comments received are available for this proposal.

SR-FICC-2013-09
34-71091 Dec. 17, 2013 Order Approving Proposed Rule Change to Make the U.S. Department of the Treasury's Floating Rate Notes Eligible for Netting Service and GCF RepoŽ at FICC's Government Securities Division
34-70831 Nov. 7, 2013 Notice of Filing of Proposed Rule Change to Make the U.S. Department of the Treasury's Floating Rate Notes Eligible for Netting Service and GCF RepoŽ at FICC's Government Securities Division
Comments due: December 5, 2013

SR-FICC-2013-08
34-70484 Sep. 24, 2013 Order Approving Proposed Rule Change Concerning the Mortgage-Backed Securities Division's Notification of Settlement Process
34-70232 Aug. 19, 2013 Notice of Filing of Proposed Rule Change in Connection with the Notification of Settlement Process Used by the Mortgage-Backed Securities Division ("MBSD")
Comments due: September 13, 2013
Additional Materials: Exhibit 5

SR-FICC-2013-06
34-70068 Jul. 30, 2013 Order Approving Proposed Rule Change to Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF RepoŽ Service
34-69774 Jun. 17, 2013 Notice of Filing of Request to Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF RepoŽ Service
Comments due: July 12, 2013

SR-FICC-2013-05
34-69972 Jul. 11, 2013 Order Approving Proposed Rule Change to Include trueEX LLC as a Designated Locked-In Trade Source Pursuant to the Rulebook of the Government Securities Division
34-69653 May 29, 2013 Notice of Filing Proposed Rule Change to Include trueEX LLC as a Designated Locked-In Trade Source Pursuant to the Rulebook of the Government Securities Division
Comments due: June 25, 2013
Comments received are available for this proposal.

SR-FICC-2013-04
34-69740 Jun. 12, 2013 Order Approving Proposed Rule Change to the Government Securities Division Rules and the Mortgage-Backed Securities Division Clearing Rules in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
34-69495 May 2, 2013 Notice of Filing of Proposed Rule Change to the Government Securities Division Rules and the Mortgage-Backed Securities Division Clearing Rules in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
Comments due: May 29, 2013
* Submit comments on SR-FICC-2013-04

SR-FICC-2013-03
34-69709 Jun. 6, 2013 Order Granting Approval of a Proposed Rule Change to Amend Mortgage-Backed Securities Division Rules Relating to Allocation of an Indemnity Claim Made in Connection with the Use of the Federal Reserve's National Settlement Service
34-69434 Apr. 23, 2013 Notice of Filing of Proposed Rule Change to Amend Mortgage-Backed Securities Division Rules Relating to Allocation of an Indemnity Claim Made in Connection with the Use of the Federal Reserve's National Settlement Service
Comments due: May 20, 2013

SR-FICC-2013-02
34-69754 Jun. 13, 2013 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Include Options On Interest Rate Futures Contracts With Maturities Not Longer Than Two Years In The One-Pot Cross-Margining Program Between the Government Securities Division and New York Portfolio Clearing, LLC
34-69470 Apr. 29, 2013 Notice of Filing of Proposed Rule Change to Include Options On Interest Rate Futures Contracts With Maturities Not Longer Than Two Years In The One-Pot Cross-Margining Program Between the Government Securities Division and New York Portfolio Clearing, LLC
Comments due: May 24, 2013

SR-FICC-2013-01
34-69708 Jun. 6, 2013 Order Granting Approval of a Proposed Rule Change to Amend the Mortgage-Backed Securities Division Rule to Reflect Recommendations of the Treasury Market Practice Group
34-69424 Apr. 22, 2013 Notice of Filing of Proposed Rule Change Amending the Mortgage-Backed Securities Division Fails Charge Rule to Reflect Recommendation of the Treasury Market Practice Group
Comments due: May 20, 2013

600-23
34-69362 Apr. 11, 2013 Notice of Filing of Amended Application for Registration as a Clearing Agency
Comments due: June 3, 2013
* Submit comments on 600-23
See also: 

 

http://www.sec.gov/rules/sro/ficc/ficcarchive/ficcarchive2013.shtml


Modified: 01/10/2014