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NSCC Rulemaking Archive: 2012
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
Third Quarter |
Second Quarter |
First Quarter
NSCC File Number List for 2012
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| Release No. |
Date |
Details |
| Third Quarter |
SR-NSCC-2012-10 |
|
34-68549 |
Dec. 28, 2012 |
Notice of Filing of Proposed Rule Change to Eliminate the Offset of Its Obligations with Institutional Delivery Transactions that Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures
Comments due: January 25, 2013
See also:
Order: Rel. No. 34-69302,
Notice: Rel. No. 34-68829
Comments received
are available
for this proposal.
|
SR-NSCC-2012-09 |
|
34-68269 |
Nov. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Addendum A (Fee Structure) of its Rules and Procedures relating to Fund/SERV® Fees
Comments due: December 18, 2012
|
SR-NSCC-2012-08 |
|
34-68159 |
Nov. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 52 (Mutual Fund Services) and Addendum A (NSCC's Fee Structure)
Comments due: November 30, 2012
|
SR-NSCC-2012-06 |
|
34-67947 |
Sep. 28, 2012 |
Order Approving Proposed Rule Change to Enhance the Default Pricing Methodology Used by NSCC's Automated Customer Account Transfer Service
See also:
Notice: Rel. No. 34-67673
|
SR-NSCC-2012-07 |
|
34-67850 |
Sep. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Which: (i) Eliminates the Practice of Netting of Creations and Redemptions of Index Receipts Prior to Their Entering NSCC's Accounting Operation, and (ii) Effects Certain Other Technical Changes
Comments due: October 10, 2012
|
SR-NSCC-2012-06 |
|
34-67673 |
Aug. 15, 2012 |
Notice of Filing of Proposed Rule Change to Enhance the Default Pricing Methodology Used by NSCC's Automated Customer Account Transfer Service
Comments due: September 12, 2012
See also:
Order: Rel. No. 34-67947
|
SR-NSCC-2012-05 |
|
34-67390 |
Jul. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise its Fee Schedule
Comments due: August 6, 2012
|
| Second Quarter |
SR-NSCC-2012-02 |
|
34-66731 |
Apr. 4, 2012 |
Order Approving Proposed Rule Change to Enhance its Margining Methodology as Applied to Municipal and Corporate Bonds (Corrected)
See also:
Notice: Rel. No. 34-66398
|
| First Quarter |
SR-NSCC-2012-04 |
|
34-66635 |
Mar. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 53 of Its Rules and Procedures Relating to the Alternative Investment Product Services to Standardize and Automate the Method by Which Registered AIP Broker-Dealer Members Meet Their Good Control Location Obligations for Uncertificated Securities
Comments due: April 17, 2012
|
SR-NSCC-2012-03 |
|
34-66539 |
Mar. 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Messaging and Settlement Enhancements to the In Force Transactions Product Service of NSCC's Insurance and Retirement Services and the Establishment of Fees Applicable Thereto
Comments due: April 4, 2012
|
SR-NSCC-2012-01 |
|
34-66399 |
Feb. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Technical Correction With Respect to the Excess Capital Premium as Set Forth in Procedure XV (Clearing Fund Formula) of NSCC's Rules and Procedures
Comments due: March 14, 2012
|
SR-NSCC-2012-02 |
|
34-66398 |
Feb. 15, 2012 |
Notice of Filing of Proposed Rule Change to Enhance its Margining Methodology as Applied to Municipal and Corporate Bonds
Comments due: March 14, 2012
See also:
Order: Rel. No. 34-66731
|
| NSCC File Number List for 2012 |
| Release No. |
Date |
Details |
SR-NSCC-2012-11 |
|
34-68562 |
Jan. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Its Fee Structure as It Relates to Certain Insurance and Retirement Processing Services and to Remove Reference to and the Fees Related to FundSPEED, a Discontinued Service
Comments due: January 29, 2013
|
SR-NSCC-2012-10 |
|
34-69302 |
Apr. 4, 2013 |
Order Approving Proposed Rule Change to Eliminate the Offset of Its Obligations with Institutional Delivery Transactions that Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures
|
|
34-68829 |
Feb. 5, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Eliminate the Offset of Its Obligations with Institutional Delivery Transactions that Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures
|
|
34-68549 |
Dec. 28, 2012 |
Notice of Filing of Proposed Rule Change to Eliminate the Offset of Its Obligations with Institutional Delivery Transactions that Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures
Comments due: January 25, 2013
Comments received
are available
for this proposal.
|
SR-NSCC-2012-09 |
|
34-68269 |
Nov. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Addendum A (Fee Structure) of its Rules and Procedures relating to Fund/SERV® Fees
Comments due: December 18, 2012
|
SR-NSCC-2012-08 |
|
34-68159 |
Nov. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 52 (Mutual Fund Services) and Addendum A (NSCC's Fee Structure)
Comments due: November 30, 2012
|
SR-NSCC-2012-07 |
|
34-67850 |
Sep. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Which: (i) Eliminates the Practice of Netting of Creations and Redemptions of Index Receipts Prior to Their Entering NSCC's Accounting Operation, and (ii) Effects Certain Other Technical Changes
Comments due: October 10, 2012
|
SR-NSCC-2012-06 |
|
34-67947 |
Sep. 28, 2012 |
Order Approving Proposed Rule Change to Enhance the Default Pricing Methodology Used by NSCC's Automated Customer Account Transfer Service
|
|
34-67673 |
Aug. 15, 2012 |
Notice of Filing of Proposed Rule Change to Enhance the Default Pricing Methodology Used by NSCC's Automated Customer Account Transfer Service
Comments due: September 12, 2012
|
SR-NSCC-2012-05 |
|
34-67390 |
Jul. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise its Fee Schedule
Comments due: August 6, 2012
|
SR-NSCC-2012-04 |
|
34-66635 |
Mar. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 53 of Its Rules and Procedures Relating to the Alternative Investment Product Services to Standardize and Automate the Method by Which Registered AIP Broker-Dealer Members Meet Their Good Control Location Obligations for Uncertificated Securities
Comments due: April 17, 2012
|
SR-NSCC-2012-03 |
|
34-66539 |
Mar. 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Messaging and Settlement Enhancements to the In Force Transactions Product Service of NSCC's Insurance and Retirement Services and the Establishment of Fees Applicable Thereto
Comments due: April 4, 2012
|
SR-NSCC-2012-02 |
|
34-66731 |
Apr. 4, 2012 |
Order Approving Proposed Rule Change to Enhance its Margining Methodology as Applied to Municipal and Corporate Bonds (Corrected)
|
|
34-66398 |
Feb. 15, 2012 |
Notice of Filing of Proposed Rule Change to Enhance its Margining Methodology as Applied to Municipal and Corporate Bonds
Comments due: March 14, 2012
|
SR-NSCC-2012-01 |
|
34-66399 |
Feb. 15, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Technical Correction With Respect to the Excess Capital Premium as Set Forth in Procedure XV (Clearing Fund Formula) of NSCC's Rules and Procedures
Comments due: March 14, 2012
|
http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2012.shtml
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