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NSCC Rulemaking Archive: 2010

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 2010

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSCC-2010-18
34-63604 Dec. 23, 2010 Notice of Filing of Proposed Rule Change Relating to the Insurance and Retirement Processing Services To Incorporate a New Analytics Reporting Service
Comments due:  January 19, 2011
* Submit comments on SR-NSCC-2010-18

SR-NSCC-2010-11
34-63588 Dec. 21, 2010 Order Granting Approval of a Proposed Rule Change to Enhance the Reconfirmation and Pricing Service, Including the Creation of the Obligation Warehouse
See also:  Notice: Rel. No. 34-63126

SR-NSCC-2010-17
34-63417 Dec. 2, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Discontinue the Cost Basis Reporting Service
Comments due:  December 29, 2010

SR-NSCC-2010-16
34-63404 Dec. 1, 2010 Notice of Filing of Proposed Rule Change to Amend Procedure II of the NSCC Rules & Procedures to Modify the Money Tolerance Comparison Provisions for Fixed Income Securities
Comments due:  December 29, 2010
See also:  Order: Rel. No. 34-63722

SR-NSCC-2010-15
34-63368 Nov. 23, 2010 Notice of Filing of Proposed Rule Change Relating to Establishing an Automated Service for the Processing of Transfers, Replacements, and Exchanges of Insurance and Retirement Products
Comments due:  December 21, 2010
See also:  Order: Rel. No. 34-64196

SR-NSCC-2010-12
34-63194 Oct. 27, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Procedures Related to the Automated Customer Account Transfer Service
Comments due:  November 24, 2010

SR-NSCC-2010-11
34-63126 Oct. 18, 2010 Notice of Filing of Proposed Rule Change to Enhance the Reconfirmation and Pricing Service, Including the Creation of the Obligation Warehouse
Comments due:  November 15, 2010
See also:  Order: Rel. No. 34-63588
Third Quarter

SR-NSCC-2010-10
34-63005 Sep. 29, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to clarify its Rules & Procedures Regarding its Alternative Investment Product Service
Comments due:  October 26, 2010

SR-NSCC-2010-09
34-62882 Sep. 10, 2010 Notice of Filing of Proposed Rule Change Regarding the Creation of a Universal Trade Capture Application and Automated Special Representative Facility
Comments due:  October 12, 2010
See also:  Order: Rel. No. 34-63668

SR-NSCC-2010-07
34-62849 Sep. 3, 2010 Order Approving Proposed Rule Change to Amend Addendum C of its Rules and Procedures to Implement Risk Enhancements to its Stock Borrow Program
See also:  Notice: Rel. No. 34-62567

SR-NSCC-2010-08
34-62794 Aug. 30, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to Authority to Suspend or Waive NSCC Rules and Procedures
Comments due:  September 29, 2010

SR-NSCC-2010-05
34-62726 Aug. 16, 2010 Order Approving Proposed Rule Change to Enhance the Process for Transfers Through the Automated Customer Account Transfer Service
See also:  Notice: Rel. No. 34-62385

SR-NSCC-2010-07
34-62567 Jul. 23, 2010 Notice of Filing of Proposed Rule Change to Amend Addendum C of its Rules and Procedures to Implement Risk Enhancements to its Stock Borrow Program
Comments due:  August 19, 2010
See also:  Order: Rel. No. 34-62849

SR-NSCC-2010-06
34-62435 Jul. 1, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Regarding Membership and Mutual Fund Services
Comments due:  August 2, 2010
Second Quarter

SR-NSCC-2010-05
34-62385 Jun. 25, 2010 Notice of Filing of Proposed Rule Change to Enhance the Process for Transfers Through the Automated Customer Account Transfer Service
Comments due:  July 23, 2010
See also:  Order: Rel. No. 34-62726
First Quarter

SR-NSCC-2010-04
34-61798 Mar. 29, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Set the Effective Date for the Elimination of the Guaranty of Payment with Respect to its Envelope Settlement Service
Comments due:  April 23, 2010

SR-NSCC-2010-03
34-61783 Mar. 25, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Eligibility of Securities Processed Through the ID Net Service
Comments due:  April 21, 2010

SR-NSCC-2010-02
34-61762 Mar. 23, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Aggregate Obligations in Certain Securities Transactions Designated for Settlement on a Trade-for-Trade Basis
Comments due:  April 19, 2010

SR-NSCC-2010-01
34-61618 Mar. 1, 2010 Order Approving Proposed Rule Change to Eliminate Guarantee of Payment in Connection With the Envelope Settlement Service
See also:  Notice: Rel. No. 34-61415

SR-NSCC-2010-01
34-61415 Jan. 25, 2010 Notice of Filing of Proposed Rule Change to Eliminate Guarantee of Payment in Connection With the Envelope Settlement Service
Comments due:  February 19, 2010
See also:  Order: Rel. No. 34-61618

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


File Number List
Release No. Date Details

SR-NSCC-2010-19
34-63634 Jan. 3, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Modifications to the Fee Schedule
Comments due:  January 31, 2011

SR-NSCC-2010-18
34-63604 Dec. 23, 2010 Notice of Filing of Proposed Rule Change Relating to the Insurance and Retirement Processing Services To Incorporate a New Analytics Reporting Service
Comments due:  January 19, 2011
* Submit comments on SR-NSCC-2010-18

SR-NSCC-2010-17
34-63417 Dec. 2, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Discontinue the Cost Basis Reporting Service
Comments due:  December 29, 2010

SR-NSCC-2010-16
34-63722 Jan. 14, 2011 Order Granting Approval of a Proposed Rule Change to Amend Procedure II of the NSCC Rules & Procedures to Modify the Money Tolerance Comparison Provisions for Fixed Income Securities
34-63404 Dec. 1, 2010 Notice of Filing of Proposed Rule Change to Amend Procedure II of the NSCC Rules & Procedures to Modify the Money Tolerance Comparison Provisions for Fixed Income Securities
Comments due:  December 29, 2010

SR-NSCC-2010-15
34-64196 Apr. 6, 2011 Order Approving Proposed Rule Change Relating to Establishing an Automated Service for the Processing of Transfers, Replacements, and Exchanges of Insurance and Retirement Products
34-63368 Nov. 23, 2010 Notice of Filing of Proposed Rule Change Relating to Establishing an Automated Service for the Processing of Transfers, Replacements, and Exchanges of Insurance and Retirement Products
Comments due:  December 21, 2010

SR-NSCC-2010-12
34-63194 Oct. 27, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Procedures Related to the Automated Customer Account Transfer Service
Comments due:  November 24, 2010

SR-NSCC-2010-11
34-63588 Dec. 21, 2010 Order Granting Approval of a Proposed Rule Change to Enhance the Reconfirmation and Pricing Service, Including the Creation of the Obligation Warehouse
34-63126 Oct. 18, 2010 Notice of Filing of Proposed Rule Change to Enhance the Reconfirmation and Pricing Service, Including the Creation of the Obligation Warehouse
Comments due:  November 15, 2010

SR-NSCC-2010-10
34-63005 Sep. 29, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to clarify its Rules & Procedures Regarding its Alternative Investment Product Service
Comments due:  October 26, 2010

SR-NSCC-2010-09
34-63668 Jan. 6, 2011 Order Approving Proposed Rule Change Regarding the Creation of a Universal Trade Capture Application and Automated Special Representative Facility
34-62882 Sep. 10, 2010 Notice of Filing of Proposed Rule Change Regarding the Creation of a Universal Trade Capture Application and Automated Special Representative Facility
Comments due:  October 12, 2010

SR-NSCC-2010-08
34-62794 Aug. 30, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Relating to Authority to Suspend or Waive NSCC Rules and Procedures
Comments due:  September 29, 2010

SR-NSCC-2010-07
34-62849 Sep. 3, 2010 Order Approving Proposed Rule Change to Amend Addendum C of its Rules and Procedures to Implement Risk Enhancements to its Stock Borrow Program
34-62567 Jul. 23, 2010 Notice of Filing of Proposed Rule Change to Amend Addendum C of its Rules and Procedures to Implement Risk Enhancements to its Stock Borrow Program
Comments due:  August 19, 2010

SR-NSCC-2010-06
34-62435 Jul. 1, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Regarding Membership and Mutual Fund Services
Comments due:  August 2, 2010

SR-NSCC-2010-05
34-62726 Aug. 16, 2010 Order Approving Proposed Rule Change to Enhance the Process for Transfers Through the Automated Customer Account Transfer Service
34-62385 Jun. 25, 2010 Notice of Filing of Proposed Rule Change to Enhance the Process for Transfers Through the Automated Customer Account Transfer Service
Comments due:  July 23, 2010

SR-NSCC-2010-04
34-61798 Mar. 29, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Set the Effective Date for the Elimination of the Guaranty of Payment with Respect to its Envelope Settlement Service
Comments due:  April 23, 2010

SR-NSCC-2010-03
34-61783 Mar. 25, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Eligibility of Securities Processed Through the ID Net Service
Comments due:  April 21, 2010

SR-NSCC-2010-02
34-61762 Mar. 23, 2010 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Aggregate Obligations in Certain Securities Transactions Designated for Settlement on a Trade-for-Trade Basis
Comments due:  April 19, 2010

SR-NSCC-2010-01
34-61618 Mar. 1, 2010 Order Approving Proposed Rule Change to Eliminate Guarantee of Payment in Connection With the Envelope Settlement Service
34-61415 Jan. 25, 2010 Notice of Filing of Proposed Rule Change to Eliminate Guarantee of Payment in Connection With the Envelope Settlement Service
Comments due:  February 19, 2010

 

http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2010.shtml


Modified: 04/06/2011