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NSCC Rulemaking Archive: 2006
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 2006
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NSCC-2006-13 |
| 34-54958 |
Dec. 18, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Harmonizing Administrative Provisions With Affiliated Clearing Agencies
Comments due: January 17, 2007
|
SR-NSCC-2006-05 |
| 34-54928 |
Dec. 13, 2006 |
Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Member
Comments due: January 10, 2007
See also: Order: Rel. No. 34-55366
|
SR-NSCC-2006-14 |
| 34-54921 |
Dec. 13, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clarifying and Technical Changes to its Insurance Processing Service
Comments due: January 10, 2007
|
SR-NSCC-2006-12 |
| 34-54900 |
Dec. 8, 2006 |
Notice of Filing of a Proposed Rule Change Relating to Buy-Ins of Municipal Securities
Comments due: January 4, 2007
See also: Order: Rel. No. 34-55157
|
SR-NSCC-2006-11 |
| 34-54822 |
Nov. 28, 2006 |
Notice of Filing of Proposed Rule Change to Amend its Rules and Procedures with Respect to Clearing Fund Collateral
Comments due: December 27, 2006
See also: Order: Rel. No. 34-55095
|
SR-NSCC-2006-09 |
| 34-54816 |
Nov. 27, 2006 |
Order Approving Proposed Rule Change to Allow Cash, Next Day, and Seller’s Option Equity Trades to Be Processed in the Continuous Net Settlement System and to Modify the Clearing Fund Formula to Mitigate the Risk Associated with the Shorter Settlement Cycle of Cash and Next Day Settling Trades
See also: Notice: Rel. No. 34-54482
|
SR-NSCC-2006-10 |
| 34-54737 |
Nov. 9, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clarifying and Technical Changes to NSCC’s Rules Regarding ACATS Fund/SERV
Comments due: December 11, 2006
|
| Third Quarter |
SR-NSCC-2006-09 |
| 34-54482 |
Sep. 22, 2006 |
Notice of Filing of Proposed Rule Change to Allow Cash, Next Day, and Seller's Option Equity Trades to be Processed in the Continuous Net Settlement System and to Modify the Clearing Fund Formula to Mitigate the Risk Associated with the Shorter Settlement Cycle of Cash and Next Day Settling Trades
Comments due: October 16, 2006
See also: Order: Rel. No. 34-54816
|
SR-NSCC-2006-03 |
| 34-54457 |
Sep. 15, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Member’s Clearing Fund Requirement to Excess Regulatory Capital Ratio
Other File No.: SR-FICC-2006-03
Comments due: October 12, 2006
|
SR-NSCC-2006-02 |
| 34-54444 |
Sep. 14, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Providing Financial Reports to Participants
Comments due: October 12, 2006
|
SR-NSCC-2006-07 |
| 34-54366 |
Aug. 25, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clarifying and Technical Changes to NSCC’s Rules Regarding Its Fund/Serv Mutual Fund Processing System
Comments due: September 22, 2006
|
SR-NSCC-2006-06 |
| 34-54163A |
Jul. 28, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Enhancements to ACATS-Fund/SERV Processing Capabilities (Correction)
Comments due: August 14, 2006
See also: Notice: Rel. No. 34-54163
|
SR-NSCC-2006-08 |
| 34-54173 |
Jul. 19, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Whereby the President of Each Clearing Agency Shall Also Serve as its Chief Executive Officer
Other File Nos.: SR-DTC-2006-10 and SR-FICC-2006-09
Comments due: August 18, 2006
|
SR-NSCC-2006-06 |
| 34-54163 |
Jul. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Enhancements to ACATS-Fund/SERV Processing Capabilities
Comments due: August 14, 2006
See also: Notice (Correction): Rel. No. 34-54163A
|
| Second Quarter |
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
See also: Notice: Rel. No. 34-53424
|
SR-NSCC-2006-04 |
| 34-53742 |
Apr. 28, 2006 |
Notice of Filing of Proposed Rule Change Relating to Trade Submission Requirements and Fees and Pre-Netting
Comments due: May 30, 2006
Comments received are available for this notice.
 Submit comments on SR-NSCC-2006-04
|
SR-NSCC-2006-03 |
| 34-53671 |
Apr. 18, 2006 |
Notice of Filing of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Member’s Clearing Fund Requirement to Excess Regulatory Capital Ratio
Additional File No.: SR-FICC-2006-03
Comments due: May 15, 2006
See also: Order: Rel. No. 34-54457
Comments received are available for this notice.
|
| First Quarter |
SR-NSCC-2005-15 |
| 34-53528 |
Mar. 21, 2006 |
Order Approving Proposed Rule Change Relating To Buy-Ins in Its Continuous Net Settlement System
See also: Notice: Rel. No. 34-52976
|
SR-NSCC-2005-17 |
| 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
Submit comments on SR-NSCC-2005-17
|
SR-NSCC-2006-01 |
| 34-53395 |
Mar. 2, 2006 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Exclude Non-U.S.-Based Central Securities Depositories From a Requirement To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due: March 29, 2006
Additional File Nos.: SR-DTC-2006-04, and SR-FICC-2006-01
|
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
|
| Release No. |
Date |
Details |
SR-NSCC-2006-19 |
| 34-55315 |
Feb. 20, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NSCC’s Fee Schedule
Comments due: March 20, 2007
|
SR-NSCC-2006-18 |
| 34-55259 |
Feb. 8, 2007 |
Order Granting Accelerated Approval of a Proposed Rule Change to Create Service to Facilitate the Exchange of Account Related Information on an Automated Basis between Members
|
| 34-55082 |
Jan. 10, 2007 |
Notice of Filing of Proposed Rule Change to Create Service to Facilitate the Exchange of Account Related Information on an Automated Basis between Members
Comments due: February 2, 2007
|
SR-NSCC-2006-17 |
| 34-59238 |
Jan. 13, 2009 |
Order Approving Proposed Rule Change to Reorganize Membership Rules and Procedures
|
| 34-58100 |
Jul. 3, 2008 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 to Reorganize Membership Rules and Procedures
Comments due: July 31, 2008
|
SR-NSCC-2006-16 |
| 34-55267 |
Feb. 9, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Retirement and Other Benefit Plans and Programs Offered By Registered Broker/Dealers to be Processed Through Its Insurance Processing Service
Comments due: March 13, 2007
16
|
SR-NSCC-2006-14 |
| 34-54921 |
Dec. 13, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clarifying and Technical Changes to its Insurance Processing Service
Comments due: January 10, 2007
|
SR-NSCC-2006-13 |
| 34-54958 |
Dec. 18, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Harmonizing Administrative Provisions With Affiliated Clearing Agencies
Comments due: January 17, 2007
|
SR-NSCC-2006-12 |
| 34-55157 |
Jan. 23, 2007 |
Order Granting Approval to Proposed Rule Change Relating to Buy-Ins of Municipal Securities
|
| 34-54900 |
Dec. 8, 2006 |
Notice of Filing of a Proposed Rule Change Relating to Buy-Ins of Municipal Securities
Comments due: January 4, 2007
|
SR-NSCC-2006-11 |
| 34-55095 |
Jan. 12, 2007 |
Order Approving Proposed Rule Change to Amend its Rules and Procedures with Respect to Clearing Fund Collateral
|
| 34-54822 |
Nov. 28, 2006 |
Notice of Filing of Proposed Rule Change to Amend its Rules and Procedures with Respect to Clearing Fund Collateral
Comments due: December 27, 2006
|
SR-NSCC-2006-10 |
| 34-54737 |
Nov. 9, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clarifying and Technical Changes to NSCC’s Rules Regarding ACATS Fund/SERV
Comments due: December 11, 2006
|
SR-NSCC-2006-09 |
| 34-54816 |
Nov. 27, 2006 |
Order Approving Proposed Rule Change to Allow Cash, Next Day, and Seller’s Option Equity Trades to Be Processed in the Continuous Net Settlement System and to Modify the Clearing Fund Formula to Mitigate the Risk Associated with the Shorter Settlement Cycle of Cash and Next Day Settling Trades
|
| 34-54482 |
Sep. 22, 2006 |
Notice of Filing of Proposed Rule Change to Allow Cash, Next Day, and Seller's Option Equity Trades to be Processed in the Continuous Net Settlement System and to Modify the Clearing Fund Formula to Mitigate the Risk Associated with the Shorter Settlement Cycle of Cash and Next Day Settling Trades
Comments due: October 16, 2006
Submit comments on SR-NSCC-2006-09
|
SR-NSCC-2006-08 |
| 34-54173 |
Jul. 19, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Whereby the President of Each Clearing Agency Shall Also Serve as its Chief Executive Officer
Other File Nos.: SR-DTC-2006-10 and SR-FICC-2006-09
Comments due: August 18, 2006
|
SR-NSCC-2006-07 |
| 34-54366 |
Aug. 25, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clarifying and Technical Changes to NSCC’s Rules Regarding Its Fund/Serv Mutual Fund Processing System
Comments due: September 22, 2006
|
SR-NSCC-2006-06 |
| 34-54163A |
Jul. 28, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Enhancements to ACATS-Fund/SERV Processing Capabilities (Correction)
Comments due: August 14, 2006
|
| 34-54163 |
Jul. 17, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Enhancements to ACATS-Fund/SERV Processing Capabilities
Comments due: 21 days after publication in the Federal Register
|
SR-NSCC-2006-05 |
| 34-54928 |
Dec. 13, 2006 |
Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Member
Comments due: January 10, 2007
See also: Order: Rel. No. 34-55366
|
SR-NSCC-2006-04 |
| 34-53742 |
Apr. 28, 2006 |
Notice of Filing of Proposed Rule Change Relating to Trade Submission Requirements and Fees and Pre-Netting
Comments due: May 30, 2006
Comments received are available for this notice.
Submit comments on SR-NSCC-2006-04
|
SR-NSCC-2006-03 |
| 34-54457 |
Sep. 15, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Member’s Clearing Fund Requirement to Excess Regulatory Capital Ratio
Other File No.: SR-FICC-2006-03
Comments due: October 12, 2006
|
| 34-53671 |
Apr. 18, 2006 |
Notice of Filing of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Member’s Clearing Fund Requirement to Excess Regulatory Capital Ratio
Additional File No.: SR-FICC-2006-03
Comments due: May 15, 2006
Comments received are available for this notice.
|
SR-NSCC-2006-02 |
| 34-54444 |
Sep. 14, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Providing Financial Reports to Participants
Comments due: October 12, 2006
|
SR-NSCC-2006-01 |
| 34-53395 |
Mar. 2, 2006 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Exclude Non-U.S.-Based Central Securities Depositories From a Requirement To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due: March 29, 2006
Additional File Nos.: SR-DTC-2006-04, and SR-FICC-2006-01
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http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2006.shtml
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