SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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

Additional Archives


Chronological List
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


Modified: 07/24/2014