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NSCC Rulemaking Archive: 2005

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 2005

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSCC-2005-15
34-52976 Dec. 19, 2005 Notice of Filing of Proposed Rule Change Relating To Buy-Ins in Its Continuous Net Settlement System
Comments due:  January 17, 2006
See also:  Notice: Rel. No. 34-53528

SR-NSCC-2005-14
34-52922 Dec. 7, 2005 Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Additional File Nos.: SR-DTC-2005-16 and SR-FICC-2005-19
See also:
SR-DTC-2005-16: Notice: Rel. No. 34-52665 and comments
SR-FICC-2005-19: Notice: Rel. No. 34-52663 and comments

See also:  Notice: Rel. No. 34-52664

SR-NSCC-2005-13
34-52772 Nov. 14, 2005 Order Approving Proposed Rule Change to Modify and Consolidate Clearing Fund Rules
See also:  Notice: Rel. No. 34-52552
Comments received are available for this notice.

SR-NSCC-2005-14
34-52664 Oct. 25, 2005 Notice of Filing of Proposed Rule Change to Require Members To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due:  November 21, 2005
See also:  Order: Rel. No. 34-52922

SR-NSCC-2005-13
34-52552 Oct. 3, 2005 Notice of Filing of Proposed Rule Change to Modify and Consolidate Clearing Fund Rules
Comments due:  November 1, 2005
See also:  Order: Rel. No. 34-52772
Comments received are available for this notice.
Third Quarter

SR-NSCC-2005-10
34-52458 Sep. 16, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Mutual Fund Commission Settlement Service
Comments due:  October 17, 2005

SR-NSCC-2005-05
34-52446 Sep. 15, 2005 Order Approving Proposed Rule Change To Establish a Fine for Members Failing to Conduct Connectivity Testing
Additional File Nos.:  SR-DTC-2005-04 and SR-FICC-2005-10
See also:  Notice: Rel. No. 34-52043

SR-NSCC-2005-08
34-52445 Sep. 15, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify, Consolidate, and Clarify Financial Responsibility and Operational Capability Rules
Comments due:  October 12, 2005

SR-NSCC-2005-12
34-52397 Sep. 8, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Automated Customer Account Transfer Service Rules and Procedures
Comments due:  October 5, 2005

SR-NSCC-2005-11
34-52394 Sep. 8, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Interpretation of the Definition of "Insurance Company" Under its Rules and Procedures
Comments due:  October 5, 2005

SR-NSCC-2005-09
34-52343 Aug. 26, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Insurance Processing Service and Revisions to Fee Schedule
Comments due:  September 23, 2005

SR-NSCC-2005-05
34-52043 Jul. 15, 2005 Notice of Filing of Proposed Rule Changes To Establish a Fine for Members Failing to Conduct Connectivity Testing
File Nos.: SR-DTC-2005-04, SR-FICC-2005-10, and SR-NSCC-2005-05
Comments due:  August 5, 2005
See also:  Order: Rel. No. 34-52446
Second Quarter

SR-NSCC-2005-07
34-51954 Jun. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Charges for Communications Fees to Continue Operating Legacy Communication Networks
Comments due:  August 1, 2005

SR-NSCC-2005-06
34-51882 Jun. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Number of Extended Settlement Days for Fixed Income Securities
Comments due:  July 18, 2005

SR-NSCC-2005-03
34-51871 Jun. 17, 2005 Order Granting Approval of a Proposed Rule Change Relating to Fees for Services Provided by Other Entities
See also: Notice: Rel. No. 34-51674

SR-NSCC-2005-02
34-51753 May 27, 2005 Order Approving Proposed Rule Change to Enhance the Automated Account Transfer Service to Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products
See also:  Notice: Rel. No. 34-51541

SR-NSCC-2005-04
34-51745 May 26, 2005 Order Granting Accelerated Approval of a Proposed Rule Change to Establish a Confirmation and Matching Service for Over-the-Counter U.S. Equity Options Transactions
See also:  Notice: Rel. No. 34-51649

SR-NSCC-2005-03
34-51674 May 9, 2005 Notice of Filing of a Proposed Rule Change Relating to the Collecting of Fees for Services Provided by Other Entities
See also:  Order: Rel. No. 34-51871

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-2005-04
34-51649 May 3, 2005 Notice of Filing of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-The-Counter U.S. Equity Options Transactions
See also:  Order: Rel. No. 34-51745

SR-NSCC-2005-01
34-51600 Apr. 22, 2005 Order Granting Approval of a Proposed Rule Change to Amend its Operational Capability Requirement for Membership
See also:  Notice: Rel. No. 34-51363

SR-NSCC-2005-02
34-51541 Apr. 13, 2005 Notice of Filing of Proposed Rule Change to Enhance Automated Customer Account Transfer Service to Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products
See also:  Order: Rel. No. 34-51753
First Quarter

SR-NSCC-2004-09
34-51458 Mar. 31, 2005 Notice of Filing of Proposed Rule Change To Establish a Comprehensive Standard of Care and Limitation of Liability to its Members
See also:  Order: Rel. No. 34-51669

SR-NSCC-2005-01
34-51363 Mar. 11, 2005 Notice of Filing of Proposed Rule Change to Amend its Operational Capability Requirement for Membership
See also:  Order: Rel. No. 34-51649

SR-NSCC-2003-11
34-51362 Mar. 11, 2005 Order Granting Approval of a Proposed Rule Change to Amend the Criteria Used to Place Members on Surveillance Status and to Eliminate Member and Applicant Financial Responsibility and Operational Capability Questionnaires

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
See also:  Notice: Rel. No. 34-51035

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-2003-22
34-51174 Feb. 9, 2005 Order Granting Approval of a 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:  Notice: Rel. No. 34-50797

SR-NSCC-2003-21
34-51154 Feb. 8, 2005 Notice of Withdrawal of a Proposed Rule Change Relating to the Separately Managed Accounts Service

See also:  Notice: Rel. No. 34-48846

SR-NSCC-2004-07
34-51035 Jan. 13, 2005 Notice of Filing of Proposed Rule Change to Amend the Membership Standards Required of Insurance Companies
See also:  Order: Rel. No. 34-51359
File Number List

Release No. Date Details

SR-NSCC-2005-17
34-53811 May 16, 2006 Order Approving Proposed Rule Change To Modify Its Rules and Procedures Related to the Collection of Commission Payments
34-53424 Mar. 6, 2006 Notice of Filing of Proposed Rule Change To Modify Its Rules and Procedures Related to the Collection of Commission Payments
Comments due:  April 3, 2006

SR-NSCC-2005-16
34-53099 Jan. 11, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Fee Structure of NSCC
Comments due:  February 8, 2006

SR-NSCC-2005-15
34-53528 Mar. 21, 2006 Order Approving Proposed Rule Change Relating To Buy-Ins in Its Continuous Net Settlement System
34-52976 Dec. 19, 2005 Notice of Filing of Proposed Rule Change Relating To Buy-Ins in Its Continuous Net Settlement System
Comments due:  January 17, 2006

SR-NSCC-2005-14
34-52922 Dec. 7, 2005 Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Additional File Nos.: SR-DTC-2005-16 and SR-FICC-2005-19
See also:
SR-DTC-2005-16: Notice: Rel. No. 34-52665 and comments
SR-FICC-2005-19: Notice: Rel. No. 34-52663 and comments
34-52664 Oct. 25, 2005 Notice of Filing of Proposed Rule Change to Require Members To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due:  November 21, 2005

SR-NSCC-2005-13
34-52772 Nov. 14, 2005 Order Approving Proposed Rule Change to Modify and Consolidate Clearing Fund Rules
34-52552 Oct. 3, 2005 Notice of Filing of Proposed Rule Change to Modify and Consolidate Clearing Fund Rules
Comments due:  November 1, 2005
Comments received are available for this notice.

SR-NSCC-2005-12
34-52397 Sep. 8, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Automated Customer Account Transfer Service Rules and Procedures
Comments due:  October 5, 2005

SR-NSCC-2005-11
34-52394 Sep. 8, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Interpretation of the Definition of "Insurance Company" Under its Rules and Procedures
Comments due:  October 5, 2005

SR-NSCC-2005-10
34-52458 Sep. 16, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Mutual Fund Commission Settlement Service
Comments due:  October 17, 2005

SR-NSCC-2005-09
34-52343 Aug. 26, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Insurance Processing Service and Revisions to Fee Schedule
Comments due:  September 23, 2005

SR-NSCC-2005-08
34-52445 Sep. 15, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify, Consolidate, and Clarify Financial Responsibility and Operational Capability Rules
Comments due:  October 12, 2005

SR-NSCC-2005-07
34-51954 Jun. 30, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Charges for Communications Fees to Continue Operating Legacy Communication Networks
Comments due:  August 1, 2005

SR-NSCC-2005-06
34-51882 Jun. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Number of Extended Settlement Days for Fixed Income Securities
Comments due:  July 18, 2005

SR-NSCC-2005-05
34-52446 Sep. 15, 2005 Order Approving Proposed Rule Change To Establish a Fine for Members Failing to Conduct Connectivity Testing
Additional File Nos.:  SR-DTC-2005-04 and SR-FICC-2005-10
34-52043 Jul. 15, 2005 Notice of Filing of Proposed Rule Changes To Establish a Fine for Members Failing to Conduct Connectivity Testing
File Nos.: SR-DTC-2005-04, SR-FICC-2005-10, and SR-NSCC-2005-05
Comments due:  August 5, 2005

SR-NSCC-2005-04
34-51745 May 26, 2005 Order Granting Accelerated Approval of a Proposed Rule Change to Establish a Confirmation and Matching Service for Over-the-Counter U.S. Equity Options Transactions
34-51649 May 3, 2005 Notice of Filing of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-The-Counter U.S. Equity Options Transactions
Comments due:  May 25, 2005

SR-NSCC-2005-03
34-51871 Jun. 17, 2005 Order Granting Approval of a Proposed Rule Change Relating to Fees for Services Provided by Other Entities
34-51674 May 9, 2005 Notice of Filing of a Proposed Rule Change Relating to the Collecting of Fees for Services Provided by Other Entities
Comments due:  June 3, 2005

SR-NSCC-2005-02
34-51753 May 27, 2005 Order Approving Proposed Rule Change to Enhance the Automated Account Transfer Service to Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products
34-51541 Apr. 13, 2005 Notice of Filing of Proposed Rule Change to Enhance Automated Customer Account Transfer Service to Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products
Comments due:  May 11, 2005

SR-NSCC-2005-01
34-51600 Apr. 22, 2005 Order Granting Approval of a Proposed Rule Change to Amend its Operational Capability Requirement for Membership
34-51363 Mar. 11, 2005 Notice of Filing of Proposed Rule Change to Amend its Operational Capability Requirement for Membership
Comments due:  April 7, 2005

 

http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2005.shtml


Modified: 10/16/2014