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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 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSCC-2013-13
34-71156 Dec. 20, 2013 Notice of Filing of Proposed Rule Change to Discontinue its Stock Borrow Program
Comments due: January 17, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-71455

SR-NSCC-2013-14
34-71155 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule
Comments due: January 17, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-NSCC-2013-14

SR-NSCC-2013-02
34-70999 Dec. 5, 2013 Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
See also: Notice: Rel. No. 34-70688, Notice: Rel. No. 34-70501, Notice: Rel. No. 34-69951, Notice: Rel. No. 34-69620, Notice: Rel. No. 34-69313

SR-NSCC-2013-12
34-70946 Nov. 26, 2013 Notice of Filing of Proposed Rule Change to Provide Its Members with a Risk Management Tool that Would Enable Members to Monitor Trading Activity and Receive Notifications When Pre-Set Trading Limits are Reached
Comments due: December 24, 2013
Additional Materials: Exhibit 5
See also: Order: 34-71637
Comments received are available for this proposal.

SR-NSCC-2013-11
34-70937 Nov. 25, 2013 Notice of Filing of Proposed Rule Change to Add a New Service to the National Securities Clearing Corporation's Obligation Warehouse ("OW") Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW
Comments due: December 20, 2013
See also: Order: Rel. No. 34-71251

SR-NSCC-2013-10
34-70848 Nov. 12, 2013 Order Approving Proposed Rule Change to Decommission Its Trade Risk Pro Service
See also: Notice: Rel. No. 34-70544

SR-NSCC-2013-02
34-70688 Oct. 15, 2013 Notice of Filing Amendment No. 3 to a Proposed Rule Change, as Previously Modified by Amendment Nos. 1 and 2, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due:  November 5, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-70999, Notice: Rel. No. 34-70501, Notice: Rel. No. 34-69951, Notice: Rel. No. 34-69620, Notice: Rel. No. 34-69313
Third Quarter

SR-NSCC-2013-10
34-70544 Sep. 27, 2013 Notice of Filing of Proposed Rule Change to Decommission Its Trade Risk Pro Service
Comments due: October 24, 2013
See also: Order: Rel. No. 34-70848

SR-NSCC-2013-02
34-70501 Sep. 25, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Institute Supplemental Liquidity Deposits to Its Clearing Funding Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
See also: Order: Rel. No. 34-70999, Notice: Rel. No. 34-70688, Notice: Rel. No. 34-69951, Notice: Rel. No. 34-69620, Notice: Rel. No. 34-69313

SR-NSCC-2013-09
34-70263 Aug. 27, 2013 Order Approving Proposed Rule Change Relating to the Decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service
See also: Notice: Rel. No. 34-69980

SR-NSCC-2013-09
34-69980 Jul. 12, 2013 Notice of Filing of Proposed Rule Change Relating to the Decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service
Comments due: August 8, 2013
See also: Order: Rel. No. 34-70263

SR-NSCC-2013-02
34-69951 Jul. 9, 2013 Notice of Filing Amendment No. 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Previously Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: August 5, 2013
Rebuttal comments due: August 20, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
See also: Order: Rel. No. 34-70999, Notice: Rel. No. 34-70688, Notice: Rel. No. 34-70501, Notice: Rel. No. 34-69620, Notice: Rel. No. 34-69313
Second Quarter

SR-NSCC-2013-05
34-69890 Jun. 28, 2013 Order Approving Proposed Rule Change to Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-time
See also: Notice: Rel. No. 34-69571

SR-NSCC-2013-08
34-69824 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, to Expand the Analytic Reporting Service to Permit Increased Source Data
Comments due: July 18, 2013
Additional Materials: Exhibit 5

SR-NSCC-2013-04
34-69742 Jun. 12, 2013 Order Approving Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
See also: Notice: Rel. No. 34-69497

SR-NSCC-2013-07
34-69694 Jun. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change that Consists of Technical Corrections to Reflect the Availability of Certain Functionality in the Obligation Warehouse Service
Comments due: July 1, 2013
Additional Materials: Exhibit 5

SR-NSCC-2013-02
34-69620 May 22, 2013 Notice of Filing Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: June 19, 2013
Additional Materials: Exhibit 2
Comments received are available for this proposal.
See also: Order: Rel. No. 34-70999, Notice: Rel. No. 34-70688, Notice: Rel. No. 34-70501, Notice: Rel. No. 34-69951, Notice: Rel. No. 34-69313

SR-NSCC-2013-06
34-69596 May 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Related to Portfolio Composition File Reporting in Addendum A of NSCC's Rules and Procedures
Comments due: June 12, 2013

SR-NSCC-2013-05
34-69571 May 14, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-time
Comments due: June 10, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NSCC-2013-04
34-69497 May 2, 2013 Notice of Filing of Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
Comments due: May 29, 2013
See also: Order: Rel. No. 34-69742

SR-NSCC-2013-02
34-69313 Apr. 4, 2013 Notice of Filing of Proposed Rule Change to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
See also File No.: SR-NSCC-2013-802
Comments due: May 1, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
See also: Order: Rel. No. 34-70999, Notice: Rel. No. 34-70688, Notice: Rel. No. 34-70501, Notice: Rel. No. 34-69951, Notice: Rel. No. 34-69620

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
See also: Notice: Rel. No. 34-68829, Notice: Rel. No. 34-68549
First Quarter

SR-NSCC-2013-01
34-69221 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Net and Bilaterally Offset Aggregated Receive and Deliver Settlement Obligations for Special Trades, and to Use Current Market Price as the Uniform Settlement Price for Net Balance Orders
Comments due: April 18, 2013

SR-NSCC-2012-10
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
See also: Order: Rel. No. 34-69302, Notice: Rel. No. 34-68549
Comments received are available for this proposal.

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


NSCC File Number List for 2013
Release No. Date Details

SR-NSCC-2013-14
34-71155 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule
Comments due: January 17, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-NSCC-2013-14

SR-NSCC-2013-13
34-71455 Jan. 31, 2014 Order Approving Proposed Rule Change to Discontinue its Stock Borrow Program
34-71156 Dec. 20, 2013 Notice of Filing of Proposed Rule Change to Discontinue its Stock Borrow Program
Comments due: January 17, 2014
Additional Materials: Exhibit 5

SR-NSCC-2013-12
34-71637 Feb. 28, 2014 Order Approving Proposed Rule Change to Provide Members with a Risk Management Tool that Will Enable Members to Monitor Trading Activity and Receive Notifications When Pre-Set Trading Limits Are Reached
34-70946 Nov. 26, 2013 Notice of Filing of Proposed Rule Change to Provide Its Members with a Risk Management Tool that Would Enable Members to Monitor Trading Activity and Receive Notifications When Pre-Set Trading Limits are Reached
Comments due: December 24, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NSCC-2013-11
34-71251 Jan. 7, 2014 Order Approving Proposed Rule Change to Add a New Service to the National Securities Clearing Corporation's Obligation Warehouse ("OW") Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW
34-70937 Nov. 25, 2013 Notice of Filing of Proposed Rule Change to Add a New Service to the National Securities Clearing Corporation's Obligation Warehouse ("OW") Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW
Comments due: December 20, 2013

SR-NSCC-2013-10
34-70848 Nov. 12, 2013 Order Approving Proposed Rule Change to Decommission Its Trade Risk Pro Service
See also: Notice: Rel. No. 34-70544
34-70544 Sep. 27, 2013 Notice of Filing of Proposed Rule Change to Decommission Its Trade Risk Pro Service
Comments due: October 24, 2013
See also: Order: Rel. No. 34-70848

SR-NSCC-2013-09
34-70263 Aug. 27, 2013 Order Approving Proposed Rule Change Relating to the Decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service
34-69980 Jul. 12, 2013 Notice of Filing of Proposed Rule Change Relating to the Decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service
Comments due: August 8, 2013

SR-NSCC-2013-08
34-69824 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, to Expand the Analytic Reporting Service to Permit Increased Source Data
Comments due: July 18, 2013
Additional Materials: Exhibit 5

SR-NSCC-2013-07
34-69694 Jun. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change that Consists of Technical Corrections to Reflect the Availability of Certain Functionality in the Obligation Warehouse Service
Comments due: July 1, 2013
Additional Materials: Exhibit 5

SR-NSCC-2013-06
34-69596 May 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Related to Portfolio Composition File Reporting in Addendum A of NSCC's Rules and Procedures
Comments due: June 12, 2013

SR-NSCC-2013-05
34-69890 Jun. 28, 2013 Order Approving Proposed Rule Change to Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-time
See also: Notice: Rel. No. 34-69571
34-69571 May 14, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-time
Comments due: June 10, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NSCC-2013-04
34-69742 Jun. 12, 2013 Order Approving Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
34-69497 May 2, 2013 Notice of Filing of Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
Comments due: May 29, 2013

SR-NSCC-2013-02
34-70999 Dec. 5, 2013 Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
34-70688 Oct. 15, 2013 Notice of Filing Amendment No. 3 to a Proposed Rule Change, as Previously Modified by Amendment Nos. 1 and 2, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due:  November 5, 2013
Additional Materials: Exhibit 5
34-70501 Sep. 25, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Institute Supplemental Liquidity Deposits to Its Clearing Funding Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
34-69951 Jul. 9, 2013 Notice of Filing Amendment No. 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Previously Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: August 5, 2013
Rebuttal comments due: August 20, 2013
Additional Materials: Exhibit 5
34-69620 May 22, 2013 Notice of Filing Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: June 19, 2013
Additional Materials: Exhibit 2
Comments received are available for this proposal.
34-69313 Apr. 4, 2013 Notice of Filing of Proposed Rule Change to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
See also File No.: SR-NSCC-2013-802
Comments due: May 1, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NSCC-2013-01
34-69221 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Net and Bilaterally Offset Aggregated Receive and Deliver Settlement Obligations for Special Trades, and to Use Current Market Price as the Uniform Settlement Price for Net Balance Orders
Comments due: April 18, 2013

 

http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2013.shtml


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