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NSCC Rulemaking Archive: 2007

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 2007

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSCC-2007-06
34-56865 Nov. 29, 2007 Notice of Filing of Proposed Rule Change to Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them with Similar Rules of its Affiliates
Comments due:  December 21, 2007
See also:  Order: Rel. No. 34-57404

SR-NSCC-2007-13
34-56678 Oct. 19, 2007 Order Granting Approval of a Proposed Rule Change to Amend its Rules and Procedures with Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing
See also:  Notice: Rel. No. 34-56372
Third Quarter

SR-NSCC-2007-11
34-56468 Sep. 19, 2007 Order Approving Proposed Rule Change to Allow As-of Fixed Income Trades to be Processed in the Continuous Net Settlement System
See also:  Notice: Rel. No. 34-56250

SR-NSCC-2007-13
34-56372 Sep. 7, 2007 Notice of Filing of a Proposed Rule Change to Amend its Rules and Procedures with Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing
Comments due:  October 4, 2007
See also:  Order: Rel. No. 34-56678

SR-NSCC-2007-11
34-56250 Aug. 14, 2007 Notice of Filing of Proposed Rule Change to Allow As-of Fixed Income Trades to be Processed in the Continuous Net Settlement System
Comments due:  September 10, 2007
See also:  Order: Rel. No. 34-56468

SR-NSCC-2007-10
34-56184 Aug. 2, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Charged for Its Positions and Valuations Service
Comments due:  August 29, 2007

SR-NSCC-2007-09
34-56125 Jul. 24, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the National Settlement Service
Comments due:  August 22, 2007
Second Quarter

SR-NSCC-2007-05
34-55770 May 15, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Ability to Receive Transaction Data From Trade Reporting Facilities that are Facilities of a Self-Regulatory Organization
Comments due:  June 12, 2007
First Quarter

SR-NSCC-2007-02
34-55490 Mar. 19, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Charged to the CDS Clearing and Depository Services, Inc.
Comments due:  April 13, 2007

SR-NSCC-2007-03
34-55478 Mar. 15, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule to Make Technical and Updating Changes to its Reconfirmation and Pricing Service
Comments due:  April 11, 2007
Comments received are available for this notice.

SR-NSCC-2007-04
34-55391 Mar. 2, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collateral Management Service
Comments due:  March 30, 2007

SR-NSCC-2006-05
34-55366 Feb. 27, 2007 Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Member
See also:  Notice: Rel. No. 34-54928

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-2006-16
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

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
See also:  Notice: Rel. No. 34-55082

SR-NSCC-2006-12
34-55157 Jan. 23, 2007 Order Granting Approval to Proposed Rule Change Relating to Buy-Ins of Municipal Securities
See also:  Notice: Rel. No. 34-54900

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
See also:  Notice: Rel. No. 34-54822

SR-NSCC-2006-18
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
See also:  Order: Rel. No. 34-55259


File Number List
Release No. Date Details

SR-NSCC-2007-17
34-57385 Feb. 27, 2008 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee Schedule
Comments due:  March 26, 2008

SR-NSCC-2007-16
34-57194 Jan. 24, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 to Provide Clarification with Respect to the Correspondent Clearing Service and to Make Technical Changes to the Rules and Procedures Relative to Trade Recording and Special Representative Services
Comments due:  February 20, 2008
Comments received are available for this notice.

SR-NSCC-2007-15
34-58344 Aug. 12, 2008 Order Granting Approval of a Proposed Rule Change Relating to the Admission of Foreign Entities
34-57391 Feb. 27, 2008 Notice of Filing of a Proposed Rule Change Relating to the Admission of Foreign Entities
Comments due:  March 28, 2008

SR-NSCC-2007-14
34-57901 Jun. 2, 2008 Order Approving Proposed Rule Changes, as amended, to Provide for the Settlement of Institutional Transactions in Conjunction with Each Other Through a Service Called ID Net
Additional File No.:  SR-DTC-2007-14
34-57573 Mar. 27, 2008 Notice of Filing of Proposed Rule Changes, as amended, to Provide for the Settlement of Institutional Transactions in Conjunction with Each Other Through a Service Called ID Net
Comments due:  21 days after publication in the Federal Register
Additional File No.:  SR-DTC-2007-14

SR-NSCC-2007-13
34-56678 Oct. 19, 2007 Order Granting Approval of a Proposed Rule Change to Amend its Rules and Procedures with Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing
34-56372 Sep. 7, 2007 Notice of Filing of a Proposed Rule Change to Amend its Rules and Procedures with Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing
Comments due:  October 4, 2007

SR-NSCC-2007-12
34-57813 May 12, 2008 Order Granting Approval of a Proposed Rule Change to Provide a New Alternative Investments Products Service
34-57461 Mar. 10, 2008 Notice of Filing of a Proposed Rule Change to Provide a New Alternative Investments Products Service
Comments due:  April 7, 2008

SR-NSCC-2007-11
34-56468 Sep. 19, 2007 Order Approving Proposed Rule Change to Allow As-of Fixed Income Trades to be Processed in the Continuous Net Settlement System
34-56250 Aug. 14, 2007 Notice of Filing of Proposed Rule Change to Allow As-of Fixed Income Trades to be Processed in the Continuous Net Settlement System
Comments due:  September 10, 2007

SR-NSCC-2007-10
34-56184 Aug. 2, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Charged for Its Positions and Valuations Service
Comments due:  August 29, 2007

SR-NSCC-2007-09
34-56125 Jul. 24, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the National Settlement Service
Comments due:  August 22, 2007

SR-NSCC-2007-08
34-59044 Dec. 3, 2008 Order Approving Proposed Rule Change to Amend Membership Disqualification Criteria Rules
34-58123 Jul. 9, 2008 Notice of Filing of Proposed Rule Change to Amend Membership Disqualification Criteria Rules
Comments due:  August 8, 2008

SR-NSCC-2007-07
34-58160 Jul. 15, 2008 Order Approving Proposed Rule Change to Restructure its Rules Relating to Fines and to Harmonize Them with Similar Rules of its Affiliates
34-57667 Apr. 15, 2008 Notice of Filing of Proposed Rule Change to Restructure its Rules Relating to Fines and to Harmonize Them with Similar Rules of its Affiliates
Comments due:  May 13, 2008

SR-NSCC-2007-06
34-57404 Feb. 29, 2008 Order Approving Proposed Rule Change to Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them with Similar Rules of its Affiliates
34-56865 Nov. 29, 2007 Notice of Filing of Proposed Rule Change to Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them with Similar Rules of its Affiliates
Comments due:  December 21, 2007

SR-NSCC-2007-05
34-55770 May 15, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Ability to Receive Transaction Data From Trade Reporting Facilities that are Facilities of a Self-Regulatory Organization
Comments due:  June 12, 2007

SR-NSCC-2007-04
34-55391 Mar. 2, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collateral Management Service
Comments due:  March 30, 2007

SR-NSCC-2007-03
34-55478 Mar. 15, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule to Make Technical and Updating Changes to its Reconfirmation and Pricing Service
Comments due:  April 11, 2007
Comments received are available for this notice.

SR-NSCC-2007-02
34-55490 Mar. 19, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Charged to the CDS Clearing and Depository Services, Inc.
Comments due:  April 13, 2007

 

http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2007.shtml


Modified: 12/04/2008