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NSCC Rulemaking: 2011
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 2011
Additional Archives
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NSCC-2011-10 |
| 34-66068 |
Dec. 29, 2011 |
Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to the Creation of a Service to Provide Post-Trade Information
See also: Notice: Rel. No. 34-65788
|
SR-NSCC-2011-10 |
| 34-65788 |
Nov. 18, 2011 |
Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Creation of a Service to Provide Post-Trade Information
Comments due: December 16, 2011
See also: Order: Rel. No. 34-66068
|
SR-NSCC-2011-09 |
| 34-65623 |
Oct. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise NSCC's Fee Schedule as it Applies to Certain Hedge Fund Products within NSCC's Alternative Investment Products Service
Comments due: November 22, 2011
|
| Third Quarter |
SR-NSCC-2011-07 |
| 34-65401 |
Sep. 26, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend Rules Relating to the Settlement Timing of Partial Transfers Which Include Mutual Fund Assets Through NSCC’s Automated
Comments due: October 21, 2011
|
SR-NSCC-2011-04 |
| 34-65032 |
Aug. 4, 2011 |
Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to Discontinuing Dividend Settlement Service, Funds Only Settlement Service, Data Distribution Box Services, and Changes to the Envelope Settlement Service
See also: Notice: Rel. No. 34-64769
|
SR-NSCC-2011-06 |
| 34-65008 |
Aug. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service Fees
Comments due: August 29, 2011
|
SR-NSCC-2011-05 |
| 34-64798 |
Jul. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated with the Obligation Warehouse Service
Comments due: July 29, 2011
|
| Second Quarter |
SR-NSCC-2011-04 |
| 34-64769 |
Jun. 29, 2011 |
Notice of Filing of Proposed Rule Change to Amend Rules Relating to Discontinuing Dividend Settlement Service, Funds Only Settlement Service, Data Distribution Box Services, and Changes to the Envelope Settlement Service
See also: Order: Rel. No. 34-65032
Comments due: July 27, 2011
|
SR-NSCC-2011-03 |
| 34-64666 |
Jun. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service
Comments due: July 11, 2011
|
SR-NSCC-2011-02 |
| 34-64487 |
May 13, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating To Updating the Range of Haircuts to be Applied to Eligible Clearing Fund Securities
Comments due: June 9, 2011
|
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
See also: Notice: Rel. No. 34-63368
|
| First Quarter |
SR-NSCC-2011-01 |
| 34-64065 |
Mar. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Modification of Trade Recording Fee for Bonds and Other Technical Rule Changes
Comments due: April 5, 2011
|
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
See also: Notice: Rel. No. 34-63404
|
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
See also: Notice: Rel. No. 34-62882
|
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
|
| Release No. |
Date |
Details |
SR-NSCC-2011-10 |
| 34-66068 |
Dec. 29, 2011 |
Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to the Creation of a Service to Provide Post-Trade Information
|
| 34-65788 |
Nov. 18, 2011 |
Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Creation of a Service to Provide Post-Trade Information
Comments due: December 16, 2011
|
SR-NSCC-2011-09 |
| 34-65623 |
Oct. 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise NSCC's Fee Schedule as it Applies to Certain Hedge Fund Products within NSCC's Alternative Investment Products Service
Comments due: November 22, 2011
|
SR-NSCC-2011-07 |
| 34-65401 |
Sep. 26, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend Rules Relating to the Settlement Timing of Partial Transfers Which Include Mutual Fund Assets Through NSCC’s Automated
Comments due: October 21, 2011
|
SR-NSCC-2011-06 |
| 34-65008 |
Aug. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service Fees
Comments due: August 29, 2011
|
SR-NSCC-2011-05 |
| 34-64798 |
Jul. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated with the Obligation Warehouse Service
Comments due: July 29, 2011
|
SR-NSCC-2011-04 |
| 34-65032 |
Aug. 4, 2011 |
Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to Discontinuing Dividend Settlement Service, Funds Only Settlement Service, Data Distribution Box Services, and Changes to the Envelope Settlement Service
|
| 34-64769 |
Jun. 29, 2011 |
Notice of Filing of Proposed Rule Change to Amend Rules Relating to Discontinuing Dividend Settlement Service, Funds Only Settlement Service, Data Distribution Box Services, and Changes to the Envelope Settlement Service
Comments due: July 27, 2011
|
SR-NSCC-2011-03 |
| 34-64666 |
Jun. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service
Comments due: July 11, 2011
|
SR-NSCC-2011-02 |
| 34-64487 |
May 13, 2011 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating To Updating the Range of Haircuts to be Applied to Eligible Clearing Fund Securities
Comments due: June 9, 2011
|
SR-NSCC-2011-01 |
| 34-64065 |
Mar. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Modification of Trade Recording Fee for Bonds and Other Technical Rule Changes
Comments due: April 5, 2011
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http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2011.shtml
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