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NSCC Rulemaking

We encourage the public to submit comments on the following National Securities Clearing Corporation (NSCC) 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 2014

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSCC-2014-09
34-73358 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 52 (Mutual Fund Services) and Addendum A (Fee Structure) with Respect to the DTCC Payment aXis Service, and to Make Certain Technical Changes
Comments due: November 12, 2014
Additional Materials: Exhibit 5
Third Quarter

SR-NSCC-2014-07
34-72657 Jul. 23, 2014 Order Approving Proposed Rule Change to Implement a New Scorecard Feature to the Mutual Fund Profile Service
See also: Notice: Rel. No. 34-72344
Second Quarter

SR-NSCC-2014-08
34-72488 Jun. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Broaden the Scope of the Licensing and Appointments Service and to Amend NSCC's Fee Structure
Comments due: July 24, 2014
Additional Materials: Exhibit 5

SR-NSCC-2014-07
34-72344 Jun. 6, 2014 Notice of Filing of Proposed Rule Change to Implement a New Scorecard Feature to the Mutual Fund Profile Service
Comments due: July 3, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72657

SR-NSCC-2014-06
34-72307 Jun. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule
Comments due: July 1, 2014
Additional Materials: Exhibit 5

SR-NSCC-2014-04
34-72223 May 22, 2014 Order Approving Proposed Rule Change to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service
See also: Notice: Rel. No. 34-71887

SR-NSCC-2014-03
34-72029 Apr. 25, 2014 Order Approving Proposed Rule Change to Enhance the System that Processes Corporate Actions Within NSCC's Continuous Net Settlement System
See also: Notice: Rel. No. 34-71725

SR-NSCC-2014-04
34-71887 Apr. 7, 2014 Notice of Filing of Proposed Rule Change to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service
Comments due: May 2, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72223
First Quarter

SR-NSCC-2014-03
34-71725 Mar. 14, 2014 Notice of Filing of Proposed Rule Change to Enhance the System that Processes Corporate Actions Within NSCC's Continuous Net Settlement ("CNS") System
Comments due: April 11, 2014
Additional Materials:  Exhibit 5
See also: Order: Rel. No. 34-72029

SR-NSCC-2013-12
34-71637 Feb. 28, 2014 Order Approving Proposed Rule Change to Provide Members with a Risk Management Tool that Will Enable Members to Monitor Trading Activity and Receive Notifications When Pre-Set Trading Limits Are Reached
See also:  Notice: Rel. No. 34-70946

SR-NSCC-2014-01
34-71605 Feb. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule
Comments due: March 21, 2014
Additional Materials:  Exhibit 5

SR-NSCC-2013-13
34-71455 Jan. 31, 2014 Order Approving Proposed Rule Change to Discontinue its Stock Borrow Program
See also:  Notice: Rel. No. 34-71156

SR-NSCC-2013-11
34-71251 Jan. 7, 2014 Order Approving Proposed Rule Change to Add a New Service to the National Securities Clearing Corporation's Obligation Warehouse ("OW") Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW
See also:  Notice: Rel. No. 34-70937


NSCC File Number List for 2014
Release No. Date Details

SR-NSCC-2014-09
34-73358 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 52 (Mutual Fund Services) and Addendum A (Fee Structure) with Respect to the DTCC Payment aXis Service, and to Make Certain Technical Changes
Comments due: November 12, 2014
Additional Materials: Exhibit 5

SR-NSCC-2014-08
34-72488 Jun. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Broaden the Scope of the Licensing and Appointments Service and to Amend NSCC's Fee Structure
Comments due: July 24, 2014
Additional Materials: Exhibit 5

SR-NSCC-2014-07
34-72657 Jul. 23, 2014 Order Approving Proposed Rule Change to Implement a New Scorecard Feature to the Mutual Fund Profile Service
34-72344 Jun. 6, 2014 Notice of Filing of Proposed Rule Change to Implement a New Scorecard Feature to the Mutual Fund Profile Service
Comments due: July 3, 2014
Additional Materials: Exhibit 5

SR-NSCC-2014-06
34-72307 Jun. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule
Comments due: July 1, 2014
Additional Materials: Exhibit 5

SR-NSCC-2014-04
34-72223 May 22, 2014 Order Approving Proposed Rule Change to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service
34-71887 Apr. 7, 2014 Notice of Filing of Proposed Rule Change to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service
Comments due: May 2, 2014
Additional Materials: Exhibit 5

SR-NSCC-2014-03
34-72029 Apr. 25, 2014 Order Approving Proposed Rule Change to Enhance the System that Processes Corporate Actions Within NSCC's Continuous Net Settlement System
34-71725 Mar. 14, 2014 Notice of Filing of Proposed Rule Change to Enhance the System that Processes Corporate Actions Within NSCC's Continuous Net Settlement ("CNS") System
Comments due: April 11, 2014
Additional Materials:  Exhibit 5

SR-NSCC-2014-01
34-71605 Feb. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule
Comments due: March 21, 2014
Additional Materials:  Exhibit 5

 

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


Modified: 10/24/2014