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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 2015

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSCC-2015-009
34-76787 Dec. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees Related to Automated Customer Account Transfer Service, Obligation Warehouse, Fund/SERV®, Insurance and Retirement Processing Services, and Alternative Investment Product Services
Comments due: January 26, 2015
Additional Materials: Exhibit 5

SR-NSCC-2015-007
34-76652 Dec. 15, 2015 Order Approving Proposed Rule Change to Provide Mechanism for Sub-Account Settlement with Respect to the Alternative Investment Product Services
See also: Notice: Rel. No. 34-76348

SR-NSCC-2015-005
34-76458 Nov. 17, 2015 Order Approving Proposed Rule Change to Permit Trades in Eligible Fixed Income Securities Scheduled to Settle on Day After Trade Date to Be Processed for Settlement at National Securities Clearing Corporation
See also: Notice: Rel. No. 34-76112

SR-NSCC-2015-004
34-76462 Nov. 17, 2015 Order Approving Proposed Rule Change to Require Real-Time Trade Submission and to Prohibit Pre-Netting Practices Through NSCC's Correspondent Clearing Service
See also: Notice: Rel. No. 34-76099

SR-NSCC-2015-007
34-76348 Nov. 4, 2015 Notice of Filing of Proposed Rule Change to Provide Mechanism for Sub-Account Settlement with Respect to the Alternative Investment Product Services
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 3, Exhibit 5
See also: Order: Rel. No. 34-76652

SR-NSCC-2015-008
34-76289 Oct. 28, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Details Regarding the Requirement that Members Participate in Annual Testing of Business Continuity and Disaster Recovery Plans
Comments due:  November 24, 2015
Additional Materials: Exhibit 5

SR-NSCC-2015-005
34-76112 Oct. 8, 2015

Notice of Filing of Proposed Rule Change to Permit Trades in Eligible Fixed Income Securities Scheduled to Settle on Day After Trade Date To Be Processed for Settlement at National Securities Clearing Corporation
See also: Notice: Rel. No. 34-76458Comments due:  November 5, 2015
Additional Materials: Exhibit 5


SR-NSCC-2015-004
34-76099 Oct. 7, 2015 Notice of Filing of Proposed Rule Change to Require Real-Time Trade Submission and to Prohibit Pre-Netting Practices through NSCC’s Correspondent Clearing Service
Comments due:  November 4, 2015
Additional Materials: Exhibit 5

SR-NSCC-2015-003
34-76077 Oct. 5, 2015 Order Approving Proposed Rule Change to Enhance NSCC’s Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members
See also: Notice: Rel. No. 34-75768
Third Quarter

SR-NSCC-2015-003
34-75768 Aug. 27, 2015 Notice of Filing of Proposed Rule Change to Enhance NSCC’s Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members
Comments due:  September 23, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-76077
Second Quarter

SR-NSCC-2015-002
34-74965 May 14, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify NSCC’s Rules & Procedures Relating to the Process by Which NSCC Members Submit Buy-Ins Within NSCC’s Continuous Net Settlement System
Comments due: June 10, 2015
Additional Materials: Exhibit 5

SR-NSCC-2015-001
34-74639 Apr. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Addendum A (Fee Structure) with Respect to the Alternative Investment Product Services
Comments due: April 29, 2015
Additional Materials: Exhibit 5
First Quarter

SR-NSCC-2014-12
34-74098 Jan. 20, 2015 Order Approving Proposed Rule Change to Amend NSCC's Rules and Procedures in Connection with the Discontinuance of the Analytic Reporting Service
See also: Notice: Rel. No. 34-73779


NSCC File Number List for 2015
Release No. Date Details

SR-NSCC-2015-009
34-76787 Dec. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees Related to Automated Customer Account Transfer Service, Obligation Warehouse, Fund/SERV®, Insurance and Retirement Processing Services, and Alternative Investment Product Services
Comments due: January 26, 2015
Additional Materials: Exhibit 5

SR-NSCC-2015-008
34-76289 Oct. 28, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Details Regarding the Requirement that Members Participate in Annual Testing of Business Continuity and Disaster Recovery Plans
Comments due:  November 24, 2015
Additional Materials: Exhibit 5

SR-NSCC-2015-007
34-76652 Dec. 15, 2015 Order Approving Proposed Rule Change to Provide Mechanism for Sub-Account Settlement with Respect to the Alternative Investment Product Services
34-76348 Nov. 4, 2015 Notice of Filing of Proposed Rule Change to Provide Mechanism for Sub-Account Settlement with Respect to the Alternative Investment Product Services
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 3, Exhibit 5

SR-NSCC-2015-005
34-76458 Nov. 17, 2015 Order Approving Proposed Rule Change to Permit Trades in Eligible Fixed Income Securities Scheduled to Settle on Day After Trade Date to Be Processed for Settlement at National Securities Clearing Corporation
34-76112 Oct. 8, 2015 Notice of Filing of Proposed Rule Change to Permit Trades in Eligible Fixed Income Securities Scheduled to Settle on Day After Trade Date To Be Processed for Settlement at National Securities Clearing Corporation
Comments due:  November 5, 2015
Additional Materials: Exhibit 5

SR-NSCC-2015-004
34-76462 Nov. 17, 2015 Order Approving Proposed Rule Change to Require Real-Time Trade Submission and to Prohibit Pre-Netting Practices Through NSCC's Correspondent Clearing Service
See also: Notice: Rel. No. 34-76099
34-76099 Oct. 7, 2015 Notice of Filing of Proposed Rule Change to Require Real-Time Trade Submission and to Prohibit Pre-Netting Practices through NSCC’s Correspondent Clearing Service
See also: Notice: Rel. No. 34-76462
Comments due:  November 4, 2015
Additional Materials: Exhibit 5

SR-NSCC-2015-003
34-76077 Oct. 5, 2015 Order Approving Proposed Rule Change to Enhance NSCC’s Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members
34-75768 Aug. 27, 2015 Notice of Filing of Proposed Rule Change to Enhance NSCC’s Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members
Comments due:  September 23, 2015
Additional Materials: Exhibit 5

SR-NSCC-2015-002
34-74965 May 14, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify NSCC’s Rules & Procedures Relating to the Process by Which NSCC Members Submit Buy-Ins Within NSCC’s Continuous Net Settlement System
Comments due: June 10, 2015
Additional Materials: Exhibit 5

SR-NSCC-2015-001
34-74639 Apr. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Addendum A (Fee Structure) with Respect to the Alternative Investment Product Services
Comments due: April 29, 2015
Additional Materials: Exhibit 5

 

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


Modified: 01/21/2016