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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

Additional Archives


Chronological List
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 Sellerís 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 NSCCís 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 Memberís 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 NSCCís 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 Memberís 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
File Number List

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 NSCCís 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 NSCCís 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 Sellerís 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 NSCCís 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 Memberís 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 Memberís 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

 

http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2006.shtml


Modified: 01/14/2009