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NSCC Rulemaking Archive: 2004

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 2004

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSCC-2004-10
34-50949 Dec. 30, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Regulatory Reporting Transmission Agreements with Self-Regulatory Organizations
Comments due:  January 28, 2005

SR-NSCC-2003-22
34-50797 Dec. 6, 2004 Notice of Filing of Proposed Rule Change to Amend the Standards of Financial Responsibility Required of Mutual Fund and Insurance Services Applicants and Members that Are Banks, Trust Companies, or Broker-Dealers
See also:  Order: Rel. No. 34-51174

SR-NSCC-2004-08
34-50780 Dec. 1, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee Schedule for Fixed Income Products
Comments due:  December 21, 2004

SR-NSCC-2004-04
34-50652 Nov. 10, 2004 Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-The-Counter U.S. Equity Options Transactions
Comments due:  December 8, 2004

SR-NSCC-2004-06
34-50596 Oct. 27, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the National Securities Clearing Corporationís Fee Schedule to Eliminate Reference to the PC Data Entry Fee and to Incorporate Fees for its Mutual Fund Profile and Fund/SPEED Service
Comments due:  November 24, 2004
Third Quarter

SR-NSCC-2004-05
34-50398 Sep. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the By-Laws of the National Securities Clearing Corporation
Comments due:  October 13, 2004
Comments received are available for this notice.

SR-NSCC-2003-09
34-50395 Sep. 16, 2004 Order Approving Proposed Rule Change to Amend the Procedure for Determining Intraday Mark-to-the-Market Payments

SR-NSCC-2004-03
34-50095 Jul. 27, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mutual Fund Profile and Fund/SPEED Service Fees
Comments due:  August 24, 2004

SR-NSCC-2003-05
34-50085 Jul. 26, 2004 Order Granting Approval of a Proposed Rule Change Permitting Elimination of All Hard Copies of Important Notices
See also:  Notice: Rel. No. 34-49094

SR-NSCC-2004-01
34-50026 Jul. 15, 2004 Order Granting Approval of a Proposed Rule Change to Modify the National Securities Clearing Corporationís Continuous Net Settlement System
See also:  Notice: Rel. No. 34-49717
Second Quarter

SR-NSCC-2004-01
34-49717 May 17, 2004 Notice of Filing of Proposed Rule Change to Modify the National Securities Clearing Corporation's Continuous Net Settlement System
See also:  Order: Rel. No. 34-50026

SR-NSCC-2004-02
34-49685 May 11, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptance of Non-Standard Settlement Input for Trade Recording Purposes
Comments due:  June 7, 2004

SR-NSCC-2003-20
34-49598 Apr. 22, 2004

Order Approving Proposed Rule Change to Eliminate the Higher Capital Requirements Imposed on Members for Processing Investment Fund Transactions Through NSCC's Mutual Fund Services
See also:  Notice: Rel. No. 34-49422

First Quarter

SR-NSCC-2003-20
34-49422 Mar. 16, 2004

Notice of Filing of Proposed Rule Change to Eliminate the Higher Capital Requirements Imposed on Members for Processing Investment Fund Transactions Through NSCC's Mutual Fund Services
Comments Due: April 12, 2004
See also:  Order: Rel. No. 34-49598


SR-NSCC-2003-05
34-49094 Jan. 16, 2004 Notice of Filing of a Proposed Rule Change Permitting Elimination of All Hard Copies of Important Notices
See also:  Order: Rel. No. 34-50085
Comments received are available for this notice.


NSCC File Number List for 2004
Release No. Date Details

SR-NSCC-2004-11
34-51177 Feb. 9, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Fee Schedule of the Insurance Processing Service
Comments due:  March 9, 2005

SR-NSCC-2004-10
34-50949 Dec. 30, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Regulatory Reporting Transmission Agreements with Self-Regulatory Organizations
Comments due:  January 28, 2005

SR-NSCC-2004-09
34-51669 May 9, 2005 Order Approving Proposed Rule Change to Establish a Comprehensive Standard of Care and Limitation of Liability to its Members
See also:  Notice: Rel. No. 34-51458

SR-NSCC-2004-08
34-50780 Dec. 1, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee Schedule for Fixed Income Products
Comments due:  December 21, 2004

SR-NSCC-2004-07
34-51359 Mar. 11, 2005 Order Granting Approval of a Proposed Rule Change to Amend the Membership Standards Required of Insurance Companies
34-51035 Jan. 13, 2005 Notice of Filing of Proposed Rule Change to Amend the Membership Standards Required of Insurance Companies

SR-NSCC-2004-06
34-50596 Oct. 27, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the National Securities Clearing Corporationís Fee Schedule to Eliminate Reference to the PC Data Entry Fee and to Incorporate Fees for its Mutual Fund Profile and Fund/SPEED Service
Comments due:  November 24, 2004

SR-NSCC-2004-05
34-50398 Sep. 16, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the By-Laws of the National Securities Clearing Corporation
Comments due:  October 13, 2004
Comments received are available for this notice.

SR-NSCC-2004-04
34-50652 Nov. 10, 2004 Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-The-Counter U.S. Equity Options Transactions
Comments due:  December 8, 2004

SR-NSCC-2004-03
34-50095 Jul. 27, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mutual Fund Profile and Fund/SPEED Service Fees
Comments due:  August 24, 2004

SR-NSCC-2004-02
34-49685 May 11, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptance of Non-Standard Settlement Input for Trade Recording Purposes
Comments due:  June 7, 2004

SR-NSCC-2004-01
34-50026 Jul. 15, 2004 Order Granting Approval of a Proposed Rule Change to Modify the National Securities Clearing Corporationís Continuous Net Settlement System
34-49717 May 17, 2004 Notice of Filing of Proposed Rule Change to Modify the National Securities Clearing Corporation's Continuous Net Settlement System
Comments due:  June 14, 2004

 

http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2004.shtml


Modified: 06/18/2008