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NSCC Advance Notice Rulemaking Archive: 2013

We encourage the public to submit comments on the following The Depository Trust Company (DTC) 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

NSCC File Number List for 2013

Additional Archives

Chronological List
Release No. Date Details
Fourth Quarter

SR-NSCC-2013-802
34-71000 Dec. 5, 2013 Notice of No Objection to Advance Notice Filing, as Modified by Amendment Nos. 1, 2, and 3, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: 21 days after publication in the Federal Register

SR-NSCC-2013-802
34-70689 Oct. 15, 2013 Notice of Filing Amendment No. 3 to Advance Notice, as Previously Modified by Amendment Nos. 1 and 2, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: November 5, 2013
Additional Materials:  Exhibit 5
Third Quarter

SR-NSCC-2013-802
34-69954 Jul. 9, 2013 Notice of Filing Amendment No. 2 to an Advance Notice, as Previously Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: August 5, 2013
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-69605, Notice: Rel. No. 34-69451
Comments received are available for this proposal.
Second Quarter

SR-NSCC-2013-805
34-69894 Jun. 28, 2013 Notice of No Objection to Advance Notice Filing to Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-time
See also:  Order: Rel. No. 34-69890

SR-NSCC-2013-805
34-69699 Jun. 5, 2013 Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-time
Comments due: June 26, 2013

SR-NSCC-2013-802
34-69605 May 20, 2013 Notice of Extension of Review Period of Advance Notice, as Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
See also:  Notice: Rel. No. 34-69954, Notice: Rel. No. 34-69451

SR-NSCC-2013-803
34-69557 May 10, 2013 Notice of Filing and No Objection to Advance Notice to Renew Its Existing Credit Facility
Comments due: June 6, 2013

SR-NSCC-2013-802
34-69451 Apr. 25, 2013 Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
See also File No.:  SR-NSCC-2013-02
Comments due: May 22, 2013
Additional Materials:  Exhibit 5, Exhibit 2
See also:  Notice: Rel. No. 34-69954, Notice: Rel. No. 34-69605
Comments received are available for this proposal.

SR-NSCC-2012-810
34-69301 Apr. 4, 2013 Notice of No Objection to Advance Notice Filing to Eliminate the Offset of Its Obligations with Institutional Delivery Transactions that Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures
See also:  Notice: Rel. No. 34-68621
First Quarter

SR-NSCC-2012-810
34-68621 Jan. 10, 2013 Notice of Filing of Advance Notice to Eliminate the Offset of Its Obligations with Institutional Delivery Transactions that Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures
Comments due: February 7, 2013
See also:  Notice: Rel. No. 34-69301
Comments received are available for this proposal.

NSCC Advance Notice File Number List for 2013
Release No. Date Details

SR-NSCC-2013-805
34-69894 Jun. 28, 2013 Notice of No Objection to Advance Notice Filing to Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-time
34-69699 Jun. 5, 2013 Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-time
Comments due: June 26, 2013

SR-NSCC-2013-803
34-69557 May 10, 2013 Notice of Filing and No Objection to Advance Notice to Renew Its Existing Credit Facility
Comments due: June 6, 2013

SR-NSCC-2013-802
34-71000 Dec. 5, 2013 Notice of No Objection to Advance Notice Filing, as Modified by Amendment Nos. 1, 2, and 3, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: 21 days after publication in the Federal Register
34-70689 Oct. 15, 2013 Notice of Filing Amendment No. 3 to Advance Notice, as Previously Modified by Amendment Nos. 1 and 2, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: November 5, 2013
Additional Materials:  Exhibit 5
34-69954 Jul. 9, 2013 Notice of Filing Amendment No. 2 to an Advance Notice, as Previously Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: August 5, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.
34-69605 May 20, 2013 Notice of Extension of Review Period of Advance Notice, as Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
34-69451 Apr. 25, 2013 Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
See also File No.:  SR-NSCC-2013-02
Comments due: May 22, 2013
Additional Materials:  Exhibit 5, Exhibit 2
Comments received are available for this proposal.

 

http://www.sec.gov/rules/sro/nscc-an.shtml


Modified: 08/19/2014