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NSCC Rulemaking Archive: 2008

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 2008

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSCC-2008-08
34-59105 Dec. 16, 2008 Notice of Filing of Proposed Rule Change to Amend Rules to Add an Agreement from Fund Members that Submit Mutual Fund Profile Information
Comments due:  January 20, 2009
See also:  Order: Rel. No. 34-59321

SR-NSCC-2007-08
34-59044 Dec. 3, 2008 Order Approving Proposed Rule Change to Amend Membership Disqualification Criteria Rules
See also:  Notice: Rel. No. 34-58123

SR-NSCC-2008-09
34-58988 Nov. 20, 2008 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes Relating to Amendment No. 2 to the Third Amended and Restated Options Exercise Settlement Agreement
Other File No.:  SR-OCC-2008-18
Comments due:  December 17, 2008
Third Quarter

SR-NSCC-2008-07
34-58694 Sep. 30, 2008 Order Approving Proposed Rule Change to Enhance Processing of Exchange-Traded Funds See also:  Notice: Rel. No. 34-58314

SR-NSCC-2007-15
34-58344 Aug. 12, 2008 Order Granting Approval of a Proposed Rule Change Relating to the Admission of Foreign Entities
See also:  Notice: Rel. No. 34-57391

NSCC-2008-07
34-58314 Aug. 5, 2008 Notice of Filing of Proposed Rule Change to Enhance Processing of Exchange-Traded Funds Comments due:  September 2, 2008
See also:  Order: Rel. No. 34-58694

SR-NSCC-2008-06
34-58300 Aug. 4, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Equity Options Service to Include Bond Options
Comments due:  September 2, 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
See also:  Notice: Rel. No. 34-57667

SR-NSCC-2008-04
34-58126 Jul. 9, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of NSCC's Mutual Fund Service by Investment Managers in Managed Account Programs
Comments due:  August 6, 2008
Comments received are available for this notice.

SR-NSCC-2007-08
34-58123 Jul. 9, 2008 Notice of Filing of Proposed Rule Change to Amend Membership Disqualification Criteria Rules
Comments due:  August 8, 2008
* Submit comments on SR-NSCC-2007-08

SR-NSCC-2008-05
34-58104 Jul. 7, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower Fees for Certain NSCC Services
Comments due:  July 31, 2008

SR-NSCC-2006-17
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
See also:  Order Rel. No. 34-59238
Second Quarter

SR-NSCC-2008-03
34-58053 Jun. 27, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Support the Processing of Instructions for the Transfer or Reallocation of Underlying Investment Options Within a Variable Insurance Contract [CORRECTED]
Comments due:  July 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
See also:  Notice: Rel. No. 34-57573

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
See also:  Notice: Rel. No. 34-57461

SR-NSCC-2007-07
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
See also:  Order: Rel. No. 34-58160

SR-NSCC-2008-01
34-57609 Apr. 3, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule to Amend the Rules with Regard to the Formula Used within the Stock Borrow Program
Comments due:  May 2, 2008
First Quarter

SR-NSCC-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
Additional File No.:  SR-DTC-2007-14
Comments due:  21 days after publication in the Federal Register

SR-NSCC-2007-12
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
See also:  Order: Rel. No. 34-57813

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
See also:  Notice: Rel. No. 34-56865

SR-NSCC-2007-15
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
See also:  Order: Rel. No. 34-58344

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.


File Number List
Release No. Date Details

SR-NSCC-2008-13
34-59285 Jan. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Fee Structure
Comments due:  February 23, 2009

SR-NSCC-2008-12
34-59302 Jan. 27, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow the Transfer and Reregistration of Fund/SERV Eligible Fund Positions to and from a Financial Intermediary and a Mutual Fund Company
Comments due:  February 23, 2009

SR-NSCC-2008-10
34-59252 Jan. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Enhancement to its Insurance and Retirement Services to Allow for the Electronic Exchange of Attachments to Messages
Comments due:  February 17, 2009

SR-NSCC-2008-09
34-58988 Nov. 20, 2008 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes Relating to Amendment No. 2 to the Third Amended and Restated Options Exercise Settlement Agreement
Other File No.:  SR-OCC-2008-18
Comments due:  December 17, 2008

SR-NSCC-2008-08
34-59321 Jan. 30, 2009 Order Granting Approval of a Proposed Rule Change to Amend Rules to Add an Agreement from Fund Members that Submit Mutual Fund Profile Information
See also:  Notice: Rel. No. 34-59105
34-59105 Dec. 16, 2008 Notice of Filing of Proposed Rule Change to Amend Rules to Add an Agreement from Fund Members that Submit Mutual Fund Profile Information
Comments due:  January 20, 2009

SR-NSCC-2008-07
34-58694 Sep. 30, 2008 Order Approving Proposed Rule Change to Enhance Processing of Exchange-Traded Funds
34-58314 Aug. 5, 2008 Notice of Filing of Proposed Rule Change to Enhance Processing of Exchange-Traded Funds Comments due:  September 2, 2008

SR-NSCC-2008-06
34-58300 Aug. 4, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Equity Options Service to Include Bond Options
Comments due:  September 2, 2008

SR-NSCC-2008-05
34-58104 Jul. 7, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower Fees for Certain NSCC Services
Comments due:  July 31, 2008

SR-NSCC-2008-04
34-58126 Jul. 9, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of NSCC's Mutual Fund Service by Investment Managers in Managed Account Programs
Comments due:  August 6, 2008
Comments received are available for this notice.

SR-NSCC-2008-03
34-58053 Jun. 27, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Support the Processing of Instructions for the Transfer or Reallocation of Underlying Investment Options Within a Variable Insurance Contract [CORRECTED]
Comments due:  July 28, 2008

SR-NSCC-2008-01
34-57609 Apr. 3, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule to Amend the Rules with Regard to the Formula Used within the Stock Borrow Program
Comments due:  May 2, 2008

 

http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2008.shtml


Modified: 10/16/2014