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NSCC Rulemaking

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 2009

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSCC-2009-10
34-61215 Dec. 22, 2009 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding National Securities Clearing Corporationís Board of Directors Election Process and Delegation Authority
Comments due:  January 19, 2010

SR-NSCC-2009-09
34-61089 Dec. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Move the Canadian Depository for Securities to Risk-Based Margining
Comments due:  December 29, 2009

SR-NSCC-2009-08
34-60765 Oct. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fees for Certain Insurance and Retirement Processing Services
Comments due:  October 30, 2009
Third Quarter

SR-NSCC-2009-07
34-60660 Sep. 11, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Other File Nos.:  SR-DTC-2009-14, SR-FICC-2009-09
Comments due:  October 13, 2009
Comments received are available for this notice.

SR-NSCC-2009-05
34-60368 Jul. 22, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Haircuts Applied to Eligible Clearing Fund Securities
Comments due:  August 18, 2009

SR-NSCC-2009-04
34-60234 Jul. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Addendum O
Comments due:  July 31, 2009
Second Quarter

SR-NSCC-2009-03
34-59917 May 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Additional File Nos.:  SR-DTC-2009-08 and SR-FICC-2009-06
Comments due:  June 11, 2009
Comments received are available for this notice.
First Quarter

SR-NSCC-2009-02
34-59607 Mar. 19, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Tiered Trade Netting Fee
Comments due:  April 16, 2009

SR-NSCC-2009-01
34-59413 Feb. 18, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To amend Addendum O to Allow Admission of Entities that are Organized in a Country Other Than the U.S. for Admission as Limited Members
Comments due:  March 17, 2009

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

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-2008-13
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-2008-10
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-2006-17
34-59238 Jan. 13, 2009 Order Approving Proposed Rule Change to Reorganize Membership Rules and Procedures
See also:  Notice: Rel. No. 34-58100


File Number List
Release No. Date Details

SR-NSCC-2009-12
34-61413 Jan. 25, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fee Schedule
Comments due:  February 19, 2010

SR-NSCC-2009-10
34-61215 Dec. 22, 2009 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding National Securities Clearing Corporationís Board of Directors Election Process and Delegation Authority
Comments due:  January 19, 2010

SR-NSCC-2009-09
34-61089 Dec. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Move the Canadian Depository for Securities to Risk-Based Margining
Comments due:  December 29, 2009

SR-NSCC-2009-08
34-60765 Oct. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fees for Certain Insurance and Retirement Processing Services
Comments due:  October 30, 2009

SR-NSCC-2009-07
34-60660 Sep. 11, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Other File Nos.:  SR-DTC-2009-14, SR-FICC-2009-09
Comments due:  October 13, 2009
Comments received are available for this notice.

SR-NSCC-2009-05
34-60368 Jul. 22, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Haircuts Applied to Eligible Clearing Fund Securities
Comments due:  August 18, 2009

SR-NSCC-2009-04
34-60234 Jul. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Addendum O
Comments due:  July 31, 2009

SR-NSCC-2009-03
34-59917 May 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Additional File Nos.:  SR-DTC-2009-08 and SR-FICC-2009-06
Comments due:  June 11, 2009

SR-NSCC-2009-02
34-59607 Mar. 19, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Tiered Trade Netting Fee
Comments due:  April 16, 2009

SR-NSCC-2009-01
34-59413 Feb. 18, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To amend Addendum O to Allow Admission of Entities that are Organized in a Country Other Than the U.S. for Admission as Limited Members
Comments due:  March 17, 2009

 

http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2009.shtml


Modified: 04/19/2010